National
Environmental
Justice
Advisory
Council
A Federal Advisory
U.S. Environmental Protection Agency
Baltimore Marriott Inner Harbor
Baltimore, Maryland
December 9 through 12,2002
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CONTENTS
GENERAL AND ADMINISTRATIVE
• Agenda
• NEJAC Members
- NEJAC at a Glance
- List of NEJAC Members by Category
- Biographies of NEJAC Members
• NEJAC Background
- NEJAC Charter
- NE3AC Bylaws
- NEJAC Strategic Plan
- Text of Executive Order 12898
POLLUTION PREVENTION
• NEJAC Pollution Prevention Workgroup Report: Pre-Meeting Discussion Draft
• EPA Pollution Prevention Updates
SUBCOMMITTEES (Agendas, Lists of Members, and Strategic Plans)
• Air and Water Subcommittee
• Enforcement Subcommittee
• Health and Research Subcommittee
• Indigenous Peoples Subcommittee
• International Subcommittee
• Puerto Rico Subcommittee
• Waste and Facility Siting Subcommittee
REGIONAL EJ LISTENING SESSIONS
OUTREACH
• List of EPA Environmental Justice Points of Contact
• Pollution Prevention Case Studies
• Business Practices Study
• General Guidelines for All Public Comment Sessions
• Written Comments
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NATIONAL ENVIRONMENTAL JUSTICE ADVISORY COUNCIL
Baltimore Marriott Inner Harbor Hotel
December 9 through 12, 2002
AGENDA
Monday,
December 9, 2002
Noon
Registration
3:00 p.m.
NEJAC Convenes
Introductions and Welcome
-J. P. Suarez, Assistant Administrator, U.S. Environmental Protection Agency'(EPA)
Office of Enforcement and Compliance Assurance
- Tom Voltaggio, Deputy Regional Administrator, EPA Region 3
- Denise Ferguson-Southard, Deputy Secretary, Maryland Department of the
Environment
- Cleo Holmes, Concerned Citizens of Eastern Avenue, Washington, DC
- William Sanders, Deputy Assistant Administrator, EPA'Office of Prevention,
Pesticides, and Toxic Substances
4:00 p.m.
Case Studies on Pollution Prevention and Environmental Justice
6:00 p.m.
NEJAC Adjourns for the Evening
Tuesday,
December 10, 2002
7:30 a.m.
Registration
8:30 a.m.
NEJAC Reconvenes
Policy Dialogue on Pollution Prevention and Environmental Justice
Moderator:
- Veronica Eady,' Tufts University
Panelists:
- Kenneth Warren, Wolf, Block, Schorr and Solis-Cohen
- Wilma Subra, Louisiana Environmental Action Network (LEAN)
- Sue Briggum, Waste Management
- Connie Tucker, Southern Organizing Committee
- Tom Goldtooth, Indigenous Environmental Network
- Andrew Sawyers, Maryland Department of the Environment ¦
- Ken.Geiser, University of Massachusetts at Lowell
5:00 p.m.
. DINNER
7:00 p.m.
Public Comment Period
9:00 p.m.
NEJAC Adjourns for the Evening
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NATIONAL ENVIRONMENTAL JUSTICE ADVISORY COUNCIL
Baltimore Marriott Inner Harbor Hotel
December 9 through 12, 2002
AGENDA
Wednesday, December 11, 2002
7:30 a.m. Registration
8:30 a.m. NEJAC Subcommittees Convene
- Air and Water... Salons D/E/F
- Enforcement Westminster Room
- Health and Research East Ballroom
- Indigenous Peoples Salons A/B/C
- International Severn/Patapsco Rooms
- Waste and Facility Siting West Ballroom
5:00 p.m. Subcommittees Adjourn
Thursday, December 12, 2002
8:00 a.m.
8:30 a.m.
9:00 a.m.
9:45 a.m.
10:00 a.m.
i0:30 a.m.
11:30 a.m.
Noon
1:00 p.m.
5:00 p.m.
Registration
NEJAC Reconvenes
NEJAC Health Report Recommendations
- Hal Zenick, EPA Office of Research and Development
Region 6 Environmental Justice Listening Session
- Richard Moore, Southwest Network for Environmental and Economic Justice
- Lawrence Starfield, Deputy Regional Administrator, EPA Region 6
BREAK
Business Practices Study
- Tim Fields, Tetra Tech EM Inc.
- Michael Steinberg, Morgan, Lewis, and Bockius
NEJAC Strategic Plan/Cumulative Risk
- Charles Lee,
Designated Federal
Official, NEJAC
Recognition of
Departing Members
LUNCH
Subcommittee
Reports'
NEJAC Adjourns
\
DAVIDGE
BOARD
ROOM
MEETING ROOMS
WEST PATAPSCO
MINSTER
RESTROOMS
A
PREFUCTION CORRIDOOR
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NEJAC
Members
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EPA NATIONAL ENVIRONMEN..JUSTICE ADVISORY COUNCIL
SUBCOMMITTEE MEMBERSHIP
STAKEHOLDER BREAKDOWN 2002
* Denotes NEJAC Council Member
" NEJAC Chair
AC = Academia
SL = State/Local Govt.
CG = Community Group
T/l = Tribal/Indigenous
IN = Industry/Business
NG = Non-governmental Organization/Environmental Group
NEJAC Chair - All Subcommittees
CG Peggy Shepard (1)
West Harlem Environmental Action
Air/Water Subcommittee - 7 Members (3 NEJAC)
AC Eileen Gauna (1)* Chair
AC Kenneth Manaster (2) V.Chair
IN Pending
NG Daniel Greenbaum (1)
NG Jason Grumet (3)*
NG Wilma Subra (2)*
SL Robert Sharpe (3)
Southwestern University School of Law
School of Law, Santa Clara University
Health Effects Institute
National Commission on Energy Policy
Louisiana Environmental Action Network
Illinois Environmental Protection Agency
NEJAC Vice Chair
IN Jana L. Walker (1)*
Law Office of Jana L. Walker
International - 7 members 12 NEJAC)
AC Tseming Yang (2)* Chair Vermont Law School
AC Carmen Gonzalez (3)
CG Dianne Wilkins (2)
CG Larry Charles (2)*
IN Phillip Hillman (2)
NG Cesar Luna (2)
T/l Jose Matus (2)
Seattle University School of Law
Bullock Memorial Association
ONE/C.H.A.N.E.
Polaroid Corporation
Environmental Health Coalition
Tribal Indigenous Alliance Without Borders
Enforcement Subcommittee--6 members (1 NEJAC)
AC Beverly Smith (2)
AC Robert Kuehn (2) V.Chair
CG Pending
IN Howard Shanker (2)
IN Kenneth J. Warren (2) *
T/l William Rice (2)
Touro College
University of Utah
Hagens, Berman & Mitchell
Wolf, Block, Schorr and Solis-Cohen
University of Tulsa
Puerto Rico Subcommittee - 11 members (1 NEJAC)
AC Graclela Ramlrez-Toro (1)*Chair Interamerican University of Puerto Rico
Health and Research Subcommittee - 14 members (6 NEJAC)
AC Richard Gragg (2)*
AC Jane Marie Fritz (3)
AC Franklin Carver (3)
AC Lawrence Dark (1)
AC Dorothy Powell (3)
CG Valerie Jo Bradley (3)
IN Mark Armentrout (3)
NG Laura Luster (3)
NG Rev. Adora Lee (3) *
NG Mark Mitchell (3)
SL Lori Kaplan (3) *
SL Walter Handy (3) *
SL Jane Stahl (1) * Chair
T/l Pamela Kingfisher (2) *V Chair
Florida A&M University
University of Cincinnati
North Carolina Central University
Columbia Willamette Area H. E. Center
Howard University
Mount Morris Park Community Ass.
Degussa Corporation
Luster Consulting Firm
United Church of Christ
Connecticut Coalition for Environmental Justice
Indiana Dept. of Environmental Management.
Cincinnati Health Department
Connecticut Dept. of Environmental Protection
Indigenous Women's Network
Indigenous Peoples - 8 members (3 NEJAC)
AC Dean Suagee(1)
IN Jana L. Walker (1)* Act.Chair
NG Coleen Poler (2) V.Chair
SL Karen Wilde Rogers (3)
T/l Terry Williams (3) *
T/l Moses Squeochs (1)
T/l Anna Frazier (2)*
T/l DonAragon(l)
Vermont Law School
Law Office of Jana L. Walker
Sokaogon Defense Committee
Colorado Commission of Indian Affairs
Tulalip Tribes
Yakama Nation
DINE' C.A.R.E.
Shoshone and Northern Arapaho Tribes
AC Carlos Padin (2)
CG Efren Perez (1)
CG Pedro Torres Morales (2)
CG Jose Cruz Rivera (1)
IN Rafael Robert (1)
IN Michael Szendry (1)
NG Brunilda Zayas Rodriguez (2)
NG Juan Gomez-Escarce (2)
SL Iris Cuadrado (2)
SL Eugene Scott (3)
Metropolitan University
Comite Caborrojenos Pro Salud y Ambiente
Maunabo Development Committee
Community Opposed to the Establishment of Anasco
Reg. Landfill
Merck Sharp & Dohme
Bacardi Corporation
United Environmental Coalition of Puerto Rico
Puerto Rico Chamber of Commerce
Humacao Municipal Government
EQB Board of Directors
Waste and Facility Siting Subcommittee -16 members (5 NEJAC)
AC Veronica Eady (1) * Chair
AC Robert Collin (3)
CG Harold Mitchell (1)*
CG Mary Nelson (1)*
CG Mildred McClain (1)
IN Robert Harris (2)*
IN Michael Lythcott (3)
IN Vincent Wardlaw (3)
NG Judith Espinosa (3) *
NG Michelle Alvarez (3)
NG Donna McDaniel (1)
NG Leslie Fields (3)
SL Denise Feiber(1)
SL Melvin "Kip" Holden (1)
SL Mosi Kitwana (3)
T/l Randall Gee (3)
(1)--Term expires - 12/31/2002
(3) -- Term expires - 12/31/2004
Tufts University
University of Oregon
Regenesis, Inc.
Bethel New Life, Chicago, IL
Harambee House
Pacific Gas and Electric Company
Lythcott Company
DecisionQuest
ATR Institute
Natural Resources Defense Council
Laborers AGC Education & Training Fd.
Friends of the Earth
Florida Dept. of Agriculture
Louisiana State Representative
ICMA
Cherokee Nation
(2) — Term expires - 12/31/2003
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NATIONAL ENVIRONMENTAL JUSTICE ADVISORY COUNCIL
List of Members by Stakeholder Category
2002
DESIGNATED FEDERAL OFFICER
Charles Lee, Associate Director Policy
and Interagency Liaison
Office of Environmental Justice
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue NW
(MC 2201A)
Washington, DC 20460
Phone: (202)564-2597
Fax: (202)501-1163
E-mail: lee.charles@eDa.gov
ACADEMIA - 5
Veronica Eady -1 year
Tufts University
Department of Urban and
Environmental Policy
Tufts University
97 Talbot Avenue
Medford, MA 02155
Phone: (617)627-2220
Fax: (617)627-3377
E-mail: Veronica.Eadv@tufts.edu
Tseming Yang - 2 years
Professor
Vermont Law School
Chelsea Street, Whitcomb House
South Royalton, VT 05068
Phone: (802) 763-8303 ext 2344
Fax: (802) 763-2663
E-mail: tvanq@vermontlaw.edu
Eileen Gauna -1 year
Professor
Southwestern Univ. School of Law
675 South Westmoreland Avenue
Los Angeles, CA 90005
Phone: (213)738-6752
Fax: (213)383-1688
E-mail: eqauna@swlaw.edu
Graciela I. Ramirez-Toro-1 year
Director for the Center for
Environmental Education, Conservation
and Interpretation
Inter American University of Puerto Rico
P. O. Box 5100
San German, PR 00683
Phone: (787) 264-1912 ext. 7630
Fax: (787) 892-2089
E-mail: cecia@prtc.net
CHAIR VICE CHAIR
Peggy Shepard - 1 year Jana L. Walker-1 year
Executive Director Law Office of Jana L. Walker
West Harlem Environmental Action 141 Placitas Trails Road
271 West 125th Street, Suite 211 Placitas, NM 87043
New York, NY 10027 Phone: (505) 867-0579
Phone: (212)961-1000x306 Fax: (505)867-0579
Fax: (212)961-1015 E-mail: ndnlaw@sprintmail.com
E-mail: peqqv@weact.org
Other Members
Richard Gragg, III - 2 years
Assistant Professor/Associate Director
Environmental Science Institute
Florida A&M University
Tallahassee, FL 32307-6600
Phone: (850)599-8549
Fax: (850)561-2248
E-mail: richard.qraqqiii@famu.edu
INDUSTRY/BUSINESS - 4
Robert L. Harris - 2 years
Vice President
Environmental Affairs
Pacific Gas and Electric Company
P. O. Box 770000
San Francisco, CA 94177-0001
Phone: (415)973-3833
Fax: (415)973-1359
E-mail: rlh6@pqe.com
Jana L. Walker-1 year
Law Office of Jana L. Walker
141 Placitas Trails Road
Placitas, NM 87043
Phone: (505)867-0579
Fax: (505) 867-0579
E-mail: ndnlaw@sprintmail com
Kenneth J. Warren, Esq. - 2 years
Chair of Environmental Department
Wolf, Block, Schorr and Solis-Cohen
1650 Arch Street, 22nd Floor
Philadelphia, PA 19103
Phone: (215)977-2276
Fax: (215)977-2334
E-mail: kwarren@wolfblock.com
COMMUNITY-5 (1 vacancy)
Larry Charles - 2 years
Executive Director
ONE/CHANE, Inc.
2065 Main Street
Hartford, CT 06102
Phone: (860)525-0190
Fax: (860) 522-8266
E-mail: Ichai1es@snet.net
Harold Mitchell -1 year
Director
Regenesis, Inc.
101 Anita Drive
Spartanburg, SC 29302
Phone: (864)542-8420
Fax:: (864) 582-0001
E-mail: reqenesisinc@aol.com
Mary Nelson -1 year
President
Bethel New Life, Incorporated
4950 West Thomas
Chicago, IL 60651
Phone: (773)473-7870
Fax: (773) 473-7871
E-mail: mnelson367@aol.com
Peggy Shepard - 1 year
Executive Director
West Harlem Environmental Action
271 West 125m Street, Suite 211
New York, NY 10027
Phone: (212)961-1000
Fax: (212)961-1015
E-mail: peqqv@weact.org
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NON-GOVERNMENT/ ENVIRONMENTALSTATE/LOCAL -4(1 vacancy)
GROUP -5 (1 vacancy)
Wilma Subra - 2 years
Representative, Louisiana
Environmental Action Network (LEAN)
Subra Company, Inc.
P. O. Box 9813
3814 Old Jeanerette Road
New Iberia, LA 70562
Phone: (337)367-2216
Fax: (337)367-2217
E-mail: SubraCom@aol.com
Jason S. Grumet - 3 years
Executive Director
National Commission on Energy Policy
1616 H Street, NW, 6th Floor
Washington, DC 20006
Phone: (202) 637-0400 x12
Fax: (202) 637-9220
E-mail: hreese@eneravcommission.oro
Judith Espinosa - 3 years
Director, ATR Institute
University of New Mexico
1001 University Boulevard, SE
Suite 103
Albuquerque, NM 87106-4342
Phone: (505)246-6410
Fax: (505) 246-6001
E-mail: imespino@unm.edu
Rev. Adora Iris Lee - 3 years
Director of EJ Programs
United Church of Christ
Justice and Witness Ministries
110 Maryland Avenue, NE, Suite 207
Washington, DC 2002
Phone: (202)543-1517
Fax: (202) 543-5994
E-mail: adoracri@aol.com
Jane Stahl -1 year
Deputy Commissioner
Connecticut Department of
Environmental Protection
79 Elm Street, 3rd Floor
Hartford, CT 06106
Phone: (860)424-3009
Fax: (860) 424-4054
E-mail: iane.stahl@po.state.ct.us
Walter S. Handy, Jr. - 3 years
Assistant Commissioner of Health
3101 Bumet Avenue
Cincinnati, OH 45229
Phone: (513)357-7271
Fax: (513)357-7290
E-mail: walter.handy@chdburn.rcc.org
Lori F. Kaplan - 3 years
Commissioner
Indiana Department of Environmental
Management
100 North Senate Avenue
P.O.Box 6015
Indianapolis, IN 46206-6015
Phone: (317)232-8611
Fax: (317)233-6647
E-mail: lkaplan@dem.state.in.us
TRIBAL/INDIGENOUS - 3
Anna Frazier - 2 years
Coordinator
DINE' C.A.R.E.
HCR-63, Box 263
Winslow, AZ 86047
Phone: (928)657-3291
Fax: (928)657-3319
E-mail: dinecare@cnetco.com
Pamela Kingfisher - 2 years
Indigenous Women's Network
13621 FM 2769
Austin, TX 78726
Phone: (512)288-6003
Fax: (512)258-1858
E-mail pame@indiqenouswomen.org
Terry Williams - 3 years
Fisheries and Natural Resources
Commissioner
The Tulalip Tribes
6700 Totem Beach Road
Tulalip, WA 98271-9694
Phone: (360)651-4000
Fax: (360) 651-3701
E-mail: dwilliams@tulalip.nsn us
Terms of Expiration:
1 year = 12/31/2002
2 years = 12/31/2003
3 years = 12/31/2004
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NATIONAL ENVIRONMENTAL JUSTICE ADVISORY COUNCIL
NEJAC Executive Council Member Biographies
November 2002
Veronica Eady, Lecturer, Tufts University, Massachusetts
Veronica Eady is a lecturer in the Department of Urban and Environmental Policy and Planning at
Tufts University and the former Director of the Environmental Justice and Brownfields Programs
for the Massachusetts Executive Office of Environmental Affairs. She is a licensed lawyer and has
practiced environmental law for the past 13 years. She is the author of "Environmental Justice in
State Policy Decisions," Just Sustainability: Development in an Unequal World, edited, by Julian
Agyeman, Bob Bullard, and Bob Evans. Earthscan and MIT Press.
Judith Espinosa, Director, ATR Institute
Judith Espinosa is the Director of ATR Institute, a transportation research institute, at the University
of New Mexico. She has the responsibility for management, funding and program direction of the
Institute. Ms. Espinosa was a member of the Western United States delegation to Western Europe
to exchange ideas with government official regarding light rail and public transportation system in
mid-size cities in four countries. She hold's a Master's degree in Public Health Administration, and
a Juris Doctorate from the University of New Mexico.
Larry Charles, Sr., Executive Director, O.N.E./C.H.A.N.E., Inc., Connecticut
Larry Charles is the current Executive Director of O.N.E./C.H.A.N.E., Inc. As Executive Director Mr.
Charles has provided executive leadership in saving from bankruptcy this Community Development
Corporation. Mr. Charles was instrumental in adding environmental justice as a major component
for their sustainable community strategy. He also serves as the Program Manager for the South
Africa Development Initiative fortheEnvironment(SADIE), an initiative he designed and launched.
Before joining O.N.E./C.H.A.N.E. Mr. Charles served as Deputy Commissioner, Department of
Administrative Services, for the State of Connecticut.
Anna M. Frazier, Coordinator, DINE' C.A.R.E.
Anna M. Frazier is the Coordinator for DINE' C.A.R.E. a Tribal Indigenous Organization. Her
responsibilities include training activists and monitoring projects at the grassroots communities and
write quarterly reports to the Navajo Nation Council and DINE' C.A.R.E. Board of Directors. Ms.
Frazier participates in speaking engagements at Universities, Colleges, elementary and high
schools and at local chapters on the Navajo Nation. Before joining DINE' C.A.R.E. She was the
President of Dilkon Chapter community, an entity of the Navajo Nation government.
Eileen Gauna, Professor, Southwestern University School of Law, California
Professor Eileen Gauna teaches environmental law and property law at Southwestern University
School of Law, Los Angeles, California. Her publications include articles on environmental justice,
citizen suits, the Clean Air Act and public participation in environmental decision-making. She has
served on the Title VI Implementation Advisory Subcommittee of the EPA's National Advisory
Council for Environmental Policy and Technology, the Mobile Source Technical Review Advisory
Subcommittee of the EPA's Clean Air Act Advisory Committee, and the executive board of the
Environmental Law Section of the American Association of Law Schools.
Richard Gragg, Assistant Professor, Florida A&M University, Florida
Richard D. Gragg is currently the Associate Director at the Environmental Sciences Institute, Center
for Environmental Equity and Justice, at Florida A&M University. He also serves as an Assistant
Professor of Environmental Science. Dr. Gragg was the Research Director for the Florida
Environmental Equity and Justice Commission, also in the Florida A&M University. Before joining
Florida A&M University, Dr. Gragg served as a Commissioned Officer with the United States Public
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NEJAC Executive Council Members
Biographies of Members
Page 2 of4
Health Service. He has done extensive research on reproductive disorders in African-American
male populations living near industrial facilities; the role of environmental contaminants in African-
American men; environmental equity and justice; and human health risk assessment. Dr. Gragg
holds a Ph.D. in Pharmaceutical Sciences and Toxicology from the Florida A&M University.
Jason Grumet, Executive Director, National Commission on Energy Policy
Recently, Mr. Grumet was appointed Executive Director of the National Commission on Energy
Policy. Prior to this appointment he served as the Executive Director of the Northeast States for
Coordinated Air Use Management (NESCUM) for the past eight years. Mr. Grumet holds a bachelor
degree in Environmental Studies from Brown University and a Juris Doctorate from Harvard Law
School.
Walter S. Handy Jr., Ph.D, Assistant Commissioner of Health for the Cincinnati Department
of Health
Walter Handy, Jr. is currently the Assistant Commissioner of Health for the City of Cincinnati. In his
duty at the Cincinnati Health Department, Mr. Handy manages the program, grant, contract, and
public relations activities for four Community Health Service Sections. In addition, he has served on
many community environmental organizations, such as the Hamilton County Environmental Action
Commission, where he acted in the leadership role of chair and vice chair for a year. Mr. Handy
holds a master's and doctorate degrees in Clinical Psychology from the University of Connecticut.
Robert L. Harris, Vice-President for Environmental Affair, Pacific, Gas and Electric Company
Robert L. Harris is currently the Vice President for Environmental Affairs for Pacific, Gas and
Electric. Mr. Harris has worked at PGE since 1972. He has occupied numerous positions, among
them Attorney, Executive Assistantto the President and, Vice President for Community Relations.
Mr. Harris graduated from the University of California, School of Law with a Juris Doctor in 1972.
In 1988 Mr. Harris took the Advanced Management Program at Harvard University Graduate School
of Business. He then proceeded to The Fuqua School of Business at Duke University where he
took part in their Management Development Program.
Lori Kaplan, Commissioner for the Indiana Department of Environmental Management
Lori Kaplan, has lead the Indiana Department of Environmental Management, oversees the state
agency's responsibility for implementing and enforcing state and delegated federal laws, rules and
regulations protecting against pollution of air, land and water. One of her accomplishments as
Commissioner is the implementation of Environmental Justice Programs.
Pamela Kingfisher, Executive Director, Indigenous Women's Network
Pamela Kingfisher has worked extensively with indigenous communities as a consultant and a
community organizer. She has worked to address nuclear and chemical contamination in the
Cherokee regions of Oklahoma. Ms. Kingfisher holds a bachelor's degree in Library Science from
the Northeastern State University.
Rev. Adora Iris Lee, Director of Environmental Justice Program, United Church of Christ
As the director of the Environmental Justice Program, Rev. Lee is responsible for the development
of environmental justice programs for a 1.4 million member denomination. She is involved in
conducting environmental education for local churches and communities as well as implementing
a program of advocacy and technical assistance to grassroots environmental organizations. In
addition to her responsibilities as Director, she also maintains an independent health care practice.
Harold Mitchell, Re-Genesis, Spartanburg, South Carolina
Harold Mitchell is the Director of Re-Genesis, Inc., a predominately African American grassroots
environmental justice organization in Spartanburg, South Carolina, that has a membership of more
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NEJAC Executive Council Members
Biographies of Members
Page 3 of 4
than 1,000 members. The organization was founded by Mr. Mitchell, a member of the impacted
community, to address the environmental degradation in the communities located in Spartanburg.
Mr. Mitchell is also a member of the Board of Directors of South Carolina Environmental Watch.
He serves as Up State Coordinator with a full range of responsibilities for advancing the
environmental agenda to benefit communities instead of industry. Some of his responsibilities
include community liaison, regulatory and legislative advocacy and evaluation/referral of citizen
complaints.
Mary Nelson, President, Bethel New Life Incorporated, Illinois
Mary Nelson is the President of Bethel New Life, Inc., a 20 year old faith-based community
development corporation on the west side of Chicago known for its cutting edge initiatives in
affordable housing, community building on assets, creative continuum's for elderly and formerly
homeless families and environmental/smart community efforts. Bethel New Life, Inc. has over 300
employees. Ms. Nelson has spearheaded efforts at enabling community residents to participate in
community decisions and actions around clean up and around economic opportunities. Bethel New
Life, Inc. is a leader in community development and job creation around environmental careers,
"Bethel" also works with brownfields redevelopment and are now creating a "smart" community
concept around transit oriented development
Graciela I. Ramirez-Toro, Director for the Center for Environmental Education
Conservation and Interpretation Inter American University of Puerto Rico
Graciela is currently the director for the Center for Environmental Education Conservation and
Interpretation at the Inter American University of Puerto Rico. She received her masters in
Environmental Biologyfrom Hood College in Maryland and her PhD. In Environmental Science from
Drexel University, Philadelphia. Ms. Ramirez-Toro has also been reappointed to the NEJAC's
Executive Council and to the chairmanship of the Puerto Rico Subcommittee. She has vast
experience in consulting, including consulting experience for the US EPA Office of Drinking Water
and for several agencies of the Puerto Rican Government, such as the Department of Health.
Peggy M. Shepard, Executive Director, West Harlem Environmental Action, Inc. (WHE ACT)
Ms. Shepard, Executive Director of WHE ACT was originally one of its co founders in 1988. Until
1994, when a staff of seven was hired, the operation worked with volunteers. She is responsible
to the board of directors for raising funds, operating programs and maintaining fiscally viable
administration, as well as maintaining contact with founders, and initiating projects with educational,
medical and other non-profit organizations. From 1978 to 1993, she worked for the New York State
Division of Housing and Community Renewal, and from 1993 to 1994, she worked at the New York
City Office of the Controller.
Jane Stahl, Assistant Commissioner for Air, Waste and Water, Connecticut Department of
the Environment, Hartford, Connecticut
Ms. Stahl has worked for the Department of the Environment for twenty years and has served in a
number of different capacities including Assistant Director of Long Island Sound Programs and
Supervising Environmental Analyst. Ms. Stahl's responsibilities have included authorization of the
Thames River dredging project, the AMTRAK electrification project, and supervision of the state's
Mosquito Management Program. In addition, as an active member of the nationwide Coastal States
Organization (CS0), Ms. Stahl has worked to ensure state interests are considered in federal
actions affecting coastal areas. Ms. Stahl served as the immediate past chair of CSO's Legal
Counsel and was co-preparer of the treatise, Putting the Public Trust to Work. 2nd Edition.
Wilma Subra, Representative, Louisiana Environmental Action Network (LEAN)
Wilma Subra is the LEAN Representative and the President of Subra Company, Inc. Ms. Subra
represents LEAN at the state, regional, national and international level. As the LEAN Representative
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NEJAC Executive Council Members
Biographies of Members
Page 4 of 4
she not only has organized countless communities across the nation, but she has also provided her
expertise as a chemist. Ms. Subra constantly travels to address environmental issues, she also
serves on a long list of committees, councils, and task forces. She received her Masters in
Microbiology/Chemistry from the University of Southwestern Louisiana.
Jana L. Walker, Attorney at Law, Placitas, New Mexico
Ms. Walker is a solo practitioner whose practice focuses on Indian affairs and the representation
of Indian tribes and tribal agencies and organizations in matters involving tribal taxation, tribal
environmental regulation, tribal economic development, reservation business transactions, tribal
code development, Indian gaming, organization and maintenance of business associations including
tribally-owned and chartered corporations, and Indian Housing. Mrs. Walker is also the editor,
owner and the publisher of INDIAN FEDREG News, a weekly newsletter that reports on matters
published in the Federal Register that affect Indian tribes and Indian Country, including federal
agency actions and announcements and public law enactments. She has also been involved in
trying to increase the number of people from minority groups who enter the legal profession. She
is a member of the Cherokee Nation.
Kenneth J. Warren, Partner/Chair of Environmental Department, Wolf, Block, Schorr and
Solis-Cohen LLP
Kenneth J. Warren is currently a partner and the Environmental Department Chair of Wolf, Block,
Schorr and Solis-Cohen LLP in Philadelphia, PA. As Chair of the Environmental Department, Mr.
Warren represents numerous industry and business clients in environmental law matters. His
practice includes defense of civil and criminal enforcement actions, complex environmental litigation
and other regulatory, transactional and litigation matters. Mr. Warren graduated in 1979 from the
University of Pennsylvania, School of Law. He is a member of the Pennsylvania Bar Association,
the American Bar Association, Environmental, Energy and Resources Section, Philadelphia Bar
Association, and the Environmental Law Section.
Terry Williams, Commissioner for Fisheries and Natural Resources
The Tulalip Tribes, Marysville, WA
Since August 1983 to present, Mr. Williams has directed pre-season fisheries negotiations, litigation
and planning at all government levels. He also participates in cooperative habitat management
efforts; negotiations and litigation that affect the tribe's treaty reserved fishing rights; and manages
all divisions of personnel, budgets research and enhancements projects. In addition, he has been
serving as the Pacific Salmon Commission Chair, Southern Panel since 1997, and he was
appointed to the Northwest Indian Fish Commission from 1985 to present.
Tseming Yang, Professor, Vermont Law School, Vermont
Mr. Yang is a Professor of Law at the Vermont Law School, Vermont. His special areas of interest
include environmental justice, international environmental law, race and the law. He is currently
teaching the Environmental Justice Seminar, International Environmental Law and Policy and
Climate Change Seminar. He was involved in the organization of the 1999 Environmental Law
Center Spring Conference. From 1994 to 1998 he worked in the United States Department of
Justice as an Attorney in Policy, Legislation, and Special Litigation Section of the Environment and
Natural Resources Division. His publications include Balancing Interests and Maximizing Rights in
Environmental Justice. Free trade and the Environment: The NAFTA, the NAAEC. and Implications
for the Future. Race. Religion, and Cultural Identity: Reconciling the Jurisprudence of Race and
Religion .
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NEJAC
Background
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FLOW CHART OF
THE NATIONAL ENVIRONMENTAL JUSTICE ADVISORY
COUNCIL
Christine Todd Whitman - Administrator \
JP Suarez -Assistant Administrator §
Phyllis P. Harris - Principal Deputy Assistant j
Administrator of OECA |
Barry E. Hill - Director of OEJ
Charles Lee - Designated Federal Officer j
Executive Council
Peggy Shepard -Chair
Jana L. Walker- Vice Chair
Pollution Prevention
Workgroup
(Temporary)
Subcommittees
Air/Water
Enforcement
Health and Research
Indigenous People
International
Puerto Rico
Waste and Facility Siting
rrri^mraasis
/
¦»rerT.CTJW«r^iatolw.TVa
Subcommittee
Workgroups
(Temporary)
\
Subcommittee
Workgroups
(Temporary)
§
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY CHARTER
NATIONAL ENVIRONMENTAL JUSTICE ADVISORY COUNCIL
1. Committee's Official Designation (Title):
National Environmental Justice Advisory Council
2. Authority:
This charter renews the National Environmental Justice Advisory Council (NEJAC) in
accordance with the requirements of the Federal Advisory Committee Act (FACA), 5 U.S.C.
App. 2 § 9 (c). NEJAC is in the public interest and supports EPA in performing its duties and
responsibilities.
3. Objectives and Scope of Activities:
NEJAC shall provide independent advice and recommendations to the Administrator on
areas relating to environmental justice that may include:
a. Advice on EPA's framework development for integrating socioeconomic programs
into strategic planning, annual planning and management accountability for
achieving environmental justice results agency-wide.
b. Advice on measuring and evaluating EPA's progress, quality, and adequacy in
planning, developing, and implementing environmental justice strategies, projects,
and programs.
c. Advice on EPA's existing and future information management systems,
technologies, and data collection, and to conduct analyses that support and
strengthen environmental justice programs in administrative and scientific areas.
d. Advice to help develop, facilitate, and conduct reviews of the direction, criteria,
scope, and adequacy of the EPA's scientific research and demonstration projects
relating to environmental justice.
e. Provide advice for improving how the EPA and others participate, cooperate, and
communicate within the Agency and between other Federal agencies, State, or
local governments, Federally recognized Tribes, environmental justice leaders,
interest groups, and the public.
-------
£ Advice regarding EPA's administration of grant programs relating to
environmental justice assistance (not to include the review or recommendations of
individual grant proposals or awards).
g. Advice regarding EPA's awareness, education, training, and other outreach
activities involving environmental justice.
4. Description of Committees Duties:
The duties of the NEJAC are solely advisory in nature.
5. Official^ to Whom the Committee Reports:
The NEJAC will provide advice and recommendations, and report to the EPA
Administrator through the Office of Environmental Justice, Office of Enforcement and
Compliance Assurance.
6. Agency Responsible for Providing the Necessary Support:
EPA will be responsible for financial and administrative support. Within EPA, this
support will be provided by the Office of Environmental Justice, Office of Enforcement and
Compliance Assurance.
7. Estimated Annual Operating Costs and Work Years:
The estimated annual operatkig cost of NEJAC is $970,970 which includes 3.8
work-years of support.
8. Estimated Number and Frequency of Meetings:
The NEJAC may meet approximately two (2) times a year. Meetings will occur as needed
and as approved by the Director of the Office of Environmental Justice who serves as the
Designated Federal Officer (DFO) or his/her designee. EPA may pay travel and per diem
expenses when determined necessary and appropriate. The DFO or his/her designee will be
present at all meetings, and each meeting will be conducted in accordance with an agenda
approved in advance by the DFO. The DFO is authorized to adjourn any meeting when he or she
determines it is in the public interest to do so. As required by FACA, NEJAC will hold open
meetings unless the Administrator determines that a meeting or a portion of a meeting may be
closed to the public in accordance with subsection (c) of Section 552(b) of Title 5, United States
Code and will provide an opportunity for interested persons to file comments before or after such
meetings, or to make statements to the extent that time permits.
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9. Duration and Termination:
The NEJAC will be examined annually and will exist until the EPA Deputy Administrator
determines the Council is no longer needed. This charter will be in effect for two
years from the date it is filed with Congress. After this two-year period, the charter may be
renewed as authorized in accordance with Section 14 of FACA (5 U.S.C. App. 2 § 14).
10. Member Composition:
The NEJAC will be composed of approximately 26 members. Most meirbers will serve as
representatives of non-Federal interests. Members will be selected from among, but are not
limited to, community-based groups; industry and business; academic and educational institutions;
State and local governments; Federally recognized Tribes and Indigenous groups; and non-
governmental and environmental groups as deemed appropriate.
11. Subgroups:
EPA may form NEJAC subcommittees or workgroups for any purpose consistent with
this charter. Such subcommittees or workgroups may not work independently of the chartered
committee. Subcommittees or workgroups have no authority to make decisions on behalf of the
chartered committee nor can they report directly to the Agency.
August 14. 2001
Agency Approval Date
August 21. 2001
GSA Consultation Date
September 21. 2001
Date Filed with Congress
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BYLAWS
U.S. ENVIRONMENTAL PROTECTION AGENCY
NATIONAL ENVIRONMENTAL JUSTICE ADVISORY COUNCIL
I. NAME
The name of the organization is the United States Environmental Protection Agency (U.S. EPA)
National Environmental Justice Advisory Council (NEJAC). NEJAC, hereinafter, is used to refer collectively
to the Council and all Subcommittees; Council is used to refer to the parent committee of NEJAC.
II. AUTHORITY
The NEJAC was established in 1993 under a charter approved pursuant to the Federal Advisory
Committee Act (FACA) by the U.S. EPA Administrator and by the U. S. General Services Administration
(GSA).
The NEJAC advises the EPA Administrator, through the Office of Environmental Justice (OEJ),
consistent with its current approved Charter and the requirements of the FACA.
III. MISSION AND SCOPE
The NEJAC, EPA's national advisory committee, formulates recommendations and advice on
environmental justice policy and direction. It provides a forum for public discussion and development of
independent advice and counsel to the EPA Administrator utilizing the respective strengths and
responsibilities of community-based groups; industry and business; academic and educational institutions;
state and local governments; federally recognized tribes and indigenous groups; non-governmental and
environmental groups; and others stakeholders involved in environmental justice issues.
The mission of NEJAC is to provide advice and recommendations to EPA that will help to improve
direction and integration of environmental justice into the Agency's programs and initiatives set forth in
section 3 of the Charter ("Objectives and Scope of
Activities"). NEJAC's advice and recommendations shall be on areas related to environmental justice that
may include:
1) Advice on EPA's framework development for integrating socioeconomic programs into
strategic planning, annual planning and management accountability for achieving
environmental justice results agency-wide.
2) Advice on measuring and evaluating EPA's progress, quality, and adequacy in planning,
developing, and implementing environmental justice strategies, projects, and programs.
3) Advice on EPA's existing and future information management systems, technologies, and
data collection, and to conduct analyses that support and strengthen environmental justice
programs in administrative and scientific areas.
4) Advice to help develop, facilitate, and conduct reviews of the direction, criteria, scope, and
adequacy of the EPA's scientific research and demonstration projects relating to
environmental justice.
5) Advice for improving how the EPA and others participate, cooperate, and communicate
within the Agency and between other federal agencies, state, or local governments,
federally recognized tribes, environmental justice leaders, interest groups, and the public.
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NEJAC Bylaws
Adopted March 9, 2000
Page 2
6) Advice regarding EPA's administration of grant programs relating to environmental justice
assistance (not to include the review or recommendations of individual grant proposals or
awards).
7) Advice regarding EPA's awareness, education, training, and other outreach activities
involving environmental justice.
NEJAC's advice and recommendations shall be directed toward:
1) Promoting continuing consultation and debate to ensure mutual understanding among
stakeholders and interests of different environmental justice perspectives, concerns, and
needs.
2) Maximizing the extent to which each representative participant understands, accepts, and
addresses environmental justice issues.
3) Facilitating broad public sharing of information on environmental justice issues as well as
alternative approaches and implementation strategies to address them.
(4) Promoting consideration of alternative strategies for leveraging resources to address
environmental justice needs.
IV. MEMBERSHIP
Section 1: Representation of Sectors
The NEJAC shall be comprised of fair and balanced representation from a broad range of non-
Federal Agency interests. Members will be selected from, but are not limited to, community-based groups;
industry and business; academic and educational institutions; state and local governments; federally
recognized tribes and indigenous groups; non-governmental and environmental groups; and other
stakeholders involved in environmental justice issues as set forth in Section 10 of the Charter (" Member
Composition").
Section 2: Appointment Process and Terms
a) Council Members
Council members shall be volunteer representatives who have full voting rights in all Council and
Subcommittee actions.
1) Council members are appointed by the EPA Administrator, in consultation with the NEJAC
Designated Federal Officer (DFO) and Council Chair, for a term of one to three years. A
Council member may be reappointed by the Administrator in accordance with EPA policy.
2) A Council member may serve as a member of one NEJAC Subcommittee, and may also
serve as a full voting member of any NEJAC Working Group, Focus Group or other group
(hereinafter referred to as Group) formed under NEJAC auspices.
3) A Council member may designate one individual, other than a current NEJAC Council
member, as his/her proxy with full Council member rights when the appointed Council
member is unable to attend Council meetings. Participation by proxy must be limited to
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NEJAC Bylaws
Adopted March 9, 2000
Page 3
one meeting per year in order to continue to encourage attendance by appointed Council
members. Individuals nominated to serve as a proxy must be approved beforehand by the
Council Chair and the NEJAC DFO.
b) Subcommittee Members
Subcommittee members shall be volunteer representatives named to serve on a specific
Subcommittee or other Group formed under NEJAC auspices. Subcommittee members shall be full
participants in the Group's deliberations and have voting rights at this level.
1) Subcommittee members are appointed by the EPA Administrator, in consultation with, the
Council Chair, the NEJAC DFO, and related Subcommittee DFO, generally for a term of
one to three years. Subcommittee members may be recommended by the Council or the
Subcommittee. The term of a Subcommittee member shall be set in accordance with the
EPA Committee Management Manual policy, the needs of the EPA Administrator, the
Agency, or the Council, and conveyed to the Subcommittee member at the time of
appointment.
2) A Subcommittee member may be reappointed as deemed appropriate by the EPA
Administrator in accordance with EPA policy.
3) Subcommittee members shall be selected on the basis of expertise on relevant subject
matter and to provide fair and balanced representation. Proxies will be allowed to
participate in Subcommittee activities but not allowed to vote on Subcommittee matters.
c) Expert Witnesses and Consultants
Expert witnesses and consultants may, where necessary, provide specialized information or
assistance to the NEJAC. Expert witnesses and consultants have no voting rights. Expert witnesses may
be invited by the NEJAC DFO, and, if appropriate, the related Subcommittee DFO, in consultation with,
either the Council Chair or the Subcommittee Chair. Consultants will be retained by the OEJ on behalf of
the NEJAC when it is deemed appropriate by the NEJAC DFO.
Section 3: Termination of Membership
a) The Council Chair shall recommend to the NEJAC DFO the removal of a Council member if the member
misses two consecutive meetings of the Council. The Chair of a Subcommittee shall recommend to the
related Subcommittee DFO the removal of a Subcommittee member if the member misses two consecutive
meetings of the Subcommittee.
b) A Council member or Subcommittee member who changes his or her organizational or professional
affiliation must notify the NEJAC DFO or related Subcommittee DFO immediately and may be subject to
removal in order to maintain balance among the various sectors of membership.
c) A Council member or Subcommittee member may be removed by the EPA Administrator as he/she
deems appropriate. The terminated Council member or Subcommittee member will be notified in writing by
the NEJAC DFO and provided the reasons for termination.
V. COUNCIL ORGANIZATION
Section I: Officers
The Council shall make recommendations to the EPA Administrator for the appointment of Council
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NEJAC Bylaws
Adopted March 9, 2000
Page 4
Chair, Council Vice Chair, Subcommittee Chairs, and Subcommittee Vice Chairs.
a) Council Chair and Vice Chair: The Council Chair and Vice Chair shall serve a one year term of office,
and may be reappointed to additional terms by the EPA Administrator, in consultation with the Council.
Upon the expiration of the term of the Council Chair, for the sake of continuity, the Vice Chair will become
the new Council Chair for a one-year term and may be reappointed to an additional term. Consequently, a
new Vice Chair will be appointed to a one year term, in consultation with the Council, and may be
reappointed to an additional term. The Council Chair and Council Vice Chair must be Council members.
b) Subcommittee Chairs and Vice Chairs: The same process set forth for the selection of Council Chair
and Vice Chair ("Council Organization: Section 1a") shall be used by the Council for the selection of
Subcommittee Chairs and Vice Chairs. The Subcommittee Chair must be a Council member.
c) DFOs: The Director of the EPA OEJ or his/her designee shall be the DFO for the NEJAC. Each
Subcommittees formed under the NEJAC auspices shall have federal employees from the EPA supporting
program office to serve as DFOs.
Section 2: Subcommittee Structure
a) The number, designation, mission, scope, and membership, or change to the structure of the
Subcommittees will be subject to agreement between the Council and the NEJAC DFO, with approval by
the EPA Administrator. The initial Subcommittees, in 1993, were Enforcement, Waste and Facility Siting,
Health and Research, and Public Participation and Accountability (which was replaced in December 1998
by establishing a Workgroup on Public Participation and Accountability). Three new Subcommittees, the
Indigenous Peoples and International Subcommittees, and the Air and Water Subcommittee were added in
December 1995, and December 1998 respectively. Subcommittees and Workgroups may be formed or
dissolved as recommended by the Council and approved by the EPA Administrator as deemed appropriate.
b) The Council under NEJAC auspices may form other Groups (e.g., focus roups, working groups, ad hoc
task forces, etc.) upon agreement by the related Subcommittee DFO, the NEJAC DFO, and the appropriate
EPA officials.
c) The Council shall make maximum use of each Subcommittees. Via the Subcommittee Chair and the
related Subcommittee DFO, the Subcommittee may interact with appropriate EPA Program Offices in
transacting Subcommittee business. However, formal charges to the Subcommittee and advice and
recommendations from the Subcommittees must pass through the Council.
Section 3: Protocol Committee
a) The Protocol Committee of the Council shall consist of the Council Chair, the Chairs of each
Subcommittee, and the Chair of the Public Participation Workgroup. The Protocol Committee may be
expanded to include other Council members as deemed appropriate by the Protocol Committee.
b) The Council Chair, in consultation with the Protocol Committee and the NEJAC DFO, shall be
responsible for overall planning for the Council and for coordinating activity with the Subcommittees. Overall
planning for the Council refers only to logistical execution of activities authorized by the Council.
Minutes of the Protocol Committee meetings shall be maintained by the NEJAC DFO and shall be
distributed to the Council.
c) No official NEJAC actions will be undertaken by the Protocol Committee without notification to the full
Council for approval. However, for business that requires immediate action, the Protocol Committee will
send a notices to the Council for a vote within 5 business days upon receipt, and upon expiration of those 5
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NEJAC Bylaws
Adopted March 9, 2000
Page 5
business days the Protocol Committee can act.
VI. MEETINGS
Section 1: Compliance with FACA
The NEJAC, its Subcommittees, and other Groups formed by the Council under NEJAC auspices
will operate in accordance with all requirements of the FACA. Such requirements include but are not
limited to: (1) publishing notices of meetings in the Federal Register; (2) holding open meetings that shall
include reasonable opportunity for public comment.; (3) having a DFO present at all meetings; and (4)
recording and distributing minutes of meetings.
Section 2: Meeting Scheduling
a) The Council may meet in plenary session twice annually.
b) The Council shall not meet except with the consent of the NEJAC DFO consistent with the FACA and
the GSA Rule.
c) The Protocol Committee shall meet as needed. These meetings shall be held at the request of the
Council Chair and the NEJAC DFO.
d) Subcommittees or other Groups formed by the Council under NEJAC auspices shall meet as needed at
the call of the Council Chair, the Subcommittee Chairs and the related Subcommittee DFOs. Meetings of
Subcommittees or other such Groups may occur by teleconference or other means in accordance with
FACA and EPA Committee Management Manual guidance.
Section 3: Quorum and Voting
a) The presence of fifty-one percent of Council members attending a Council meeting shall constitute a
quorum for transaction of business and no vote shall be taken without a quorum present.
b) A vote shall carry by a majority of the Council members present in a Quorum. Members must be
present to vote or send an approved proxy ("Section IV (2a3)").
VII. REPORTS AND RECOMMENDATIONS
Section 1: NEJAC Subcommittee Reports and Recommendations
a) A Subcommittee or other Group formed by the Council under NEJAC auspices may bring a proposed
recommendation forward to the Council for review and approval at any time.
b) A majority vote of the attending members of a Subcommittee or other such Group shall be sufficient for
forwarding a recommendation to the Council for review and approval. Voting may take place in a
Subcommittee meeting by voice, mail, facsimile, written proxy, or in writing. If a vote is taken at a meeting,
a quorum must be present. A majority of the members must vote for a recommendation to forward a report
to the Council.
c) Subcommittees or other Groups may issue their own draft reports, including draft recommendations, if
approved by a majority of the group's members as described in (b) above. These reports shall be
considered draft NEJAC Subcommittee reports by the Agency until they have undergone complete Council
review. Draft Subcommittee reports must be submitted through the Council.
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NEJAC Bylaws
Adopted March 9, 2000
Page 6
Section 2: Council Reports and Recommendations
a) A report and/or recommendation shall be accepted for formal review and approval by the Council if it was
approved by a majority vote of a Subcommittee or Group formed by the Council under NEJAC auspices in
accordance with VI - Section 1.
b) Each report or recommendation shall be distributed to all Council members for review. Where at all
possible, a review period of a minimum of 30 calendar days will be designated.
c) Final Council approval or disapproval and transmittal to the EPA Administrator on a proposed
recommendation shall be completed within a maximum of 60 calendar days from the date the proposed
report or recommendation was sent to the full Council for review. If action involves voting, voting may take
place by voice, mail, facsimile, written proxy, or in writing. Council members shall be notified of the results.
The Council, in circumstances, may waive this provision where the Agency needs an immediate response
based on planning or budget cycles, Congressional deadlines, Executive Order requirements, or other
exceptional circumstances.
d) The Council Chair shall transmit all reports or recommendations considered by the NEJAC to the EPA
Administrator, through the OEJ. Minority views shall be transmitted, when they exist, with any report or
recommendation.
Section 3: NEJAC Information Reports
All materials prepared by the NEJAC, its Subcommittees, and other Groups formed by the Council under
NEJAC auspices are available to the public in accordance with the FACA, Section 10 (b) and subject to the
Freedom of Information Act.
All reports will include the following statement: "This report and recommendations have been written as a
part of the activities of the National Environmental Justice Advisory Council, a public advisory committee
providing extramural policy information and advice to the Administrator and other officials of the United
States Environmental Protection Agency (EPA). The Council is structured to provide balanced, expert
assessment of issues related to environmental justice. This report has not been reviewed for approval by
the EPA and, hence, its contents and recommendations do not necessarily represent the views and
policies of the EPA, nor of other agencies in the Executive Branch of the federal government, nor does
mention of trade names or commercial products constitute a recommendation for use."
VIII. AMENDMENTS TO BYLAWS
At any regular meeting, the Bylaws of the Council may be added to, amended, or repealed in whole or in
part by vote of a majority of the entire membership of the Council. The vote may be taken by mail,
facsimile, and other methods of communication, provided that notice of intention to do so shall have been
given to each member at least 30 days preceding the vote.
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National Environmental Justice Advisory Council
Strategic Plan
A Federal Advisory Committee to the U.S. Environmental Protection Agency
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NEJAC EXECUTIVE COUNCIL
2001
Peggy Shepard, Chair
Rose Augustine
Larry Charles
Fernando Cuevas
Anna Frazier
Eileen Gauna
Michel Gelobter
Richard Gragg
Robert Harris
Savonala Home
Annabelle Jaramillo
Vernice Miller-Travis
Harold Mitchell
David Moore
Mary Nelson
Graciela Ramierez-Toro
Alberto Saldamando
Jane Stahl
Dean Suagee (proxy for Jennifer
Hill-Kelley)
Wilma Subra
Jana Walker
Kenneth Warren
Pat Wood
Tseming Yang
Disclaimer
This document has been reviewed and accepted by EPA as a part of the activities of the National
Environmental Justice Advisory Council, a public advisory committee providing external policy
information and advice to the Administrator and other officials of the United States Environmental
Protection Agency (EPA). The Council is structured to provide balanced, expert assessment of
issues related to environmental justice.
Inside Front Cover
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
November 16, 2001
VIA FACSIMILE AND REGULAR MAIL
OFFICE OF
ENFORCEMENT AND
COMPLIANCE ASSURANCE
Ms. Peggy Shepard
NEJAC Chair
Executive Director
West Harlem Environmental Action
271 West 125th Street. Suite 211
New York, NY 10027
Dear Ms. Shepard:
The purpose of this letter is to advise you that the NEJAC Draft Strategic Plan submitted
to the Agency on November 2, 2001, is approved for implementation. Among other things, the
Agency is especially pleased to see that the NEJAC will engage in a more deliberative process.
This is important since the advice and recommendations on major public policy issues offered by
the NEJAC will come about as a result of: (a) deliberative discussion/debate among all
stakeholders represented on the advisory committee; and (b) thoughtful deliberation. The
Executive Council should be proud of the strides that it has taken under your leadership to
produce this document.
Another aspect of the Draft Strategic Plan that the Agency is pleased to see is the
statement: "For the Council to be truly effective, there must be several co-existing collaborative
processes, such as those between the OEJ and EPA program offices; EPA and the NEJAC; and
among the diverse membership of the NEJAC. The Council will develop a collaborative
framework based upon the Charter between the OEJ, other EPA program offices, and the
NEJAC. " The Agency, in general, and the NEJAC, in particular, cannot agree more with that
statement.
On behalf of the Agency, I would like to offer special appreciation to you and the Writing
Committee members: Annabelle Jaramillo, Wilma Subra, Kenneth Warren, and Veronica Eady.
Not only is their collective talent but also their patience and thoughtfulness are reflected in the
document.
The Office of the Environmental Justice and the other program offices that support each
subcommittee look forward to working with the NEJAC as it implements the approved Strategic
Plan.
/'
cc: NEJAC Executive Council Members ./'
Sylvia K. Lowrance. Acting Assistant Administrator
Charles Lee. NEJAC Designated Federal Officer
Marva E. King, NEJAC Program Manager
Internet Address MjRLj • http //www epa gov
flecycieu/Rocyclibla . Printed uwth Jeqeiacle Oil Based Inks mi Recycled Papei 'Minimum iC -> Postconsuinet,
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TABLE OF CONTENTS
Letter to Peggy Shepard, Chair of the NEJAC
NEJAC Strategic Plan
Attachment A: NEJAC Charter
Attachment B: Distinguishing Polarized Debate From Dialogue
Attachment C: NEJAC Policy Advice Development Model
Attachment D: Incorporating Community Concerns and Issues
ii
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National Environmental Justice Advisory Council
Strategic Plan
I. Introduction.
The National Environmental Justice Advisory Council ("NEJAC," "Council," or "Executive
Council") is a committee formed in accordance with the Federal Advisory Committee Act
("FACA"). The Council is to offer independent advice and recommendations to the
Environmental Protection Agency ("EPA") Administrator on areas relating to environmental
justice. In keeping with its Charter (Appendix A), NEJAC provides advice designed to promote
the fair treatment of all peoples, including minority, low-income, indigenous, and agricultural
worker populations and federally recognized tribes, in EPA decisionmaking.
Because disadvantaged populations often lack the infrastructure and resources to advocate their
views, NEJAC, in the past, has allowed its public meetings to serve as a mechanism for the
environmental justice community to present site-specific issues concerning environmental
regulations and enforcement to the EPA. NEJAC's concentration on site-specific issues at its
meetings detracted from its ability to engage in a deliberative process that results in cogent,
timely, relevant and effective advice to the EPA Administrator. In addition, as an advisory body,
NEJAC has no authority to directly respond to community needs through government action.
Consequently, NEJAC reviewed its role and believes it can best promote environmental justice
and fulfill the mission of its Charter by refocusing its processes and products while redirecting
site-specific issues to EPA Regional Offices who have the responsibility and authority to address
them. Public input on the policy advice issues before the NEJAC will continue to be solicited at
the NEJAC meetings.
The 26-member Executive Council met in August 2001 to: redesign the activities of the NEJAC
to better fulfill its chartered advisory role; collaborate with the EPA to provide regional and
other alternative mechanisms outside of NEJAC meetings for communities to bring site-specific
issues to the attention of the EPA; and develop through a deliberative process that involves all
stakeholders an effective work product grounded in environmental justice community issues.
The issues raised and conclusions reached at the August meeting were used to construct this
Draft Strategic Plan to guide the work of the NEJAC through September 27, 2003.
Page 1 of 12
January 23, 2002 (3:19pm)
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II. Mission.
The NEJAC is a federal advisory committee that provides timely, relevant, cogent and
independent advice to the EPA Administrator on matters of environmental justice to ensure the
fair treatment of all peoples, including minority, low-income, and indigenous populations and
federally recognized tribes, and often overlooked populations such as agricultural workers.
Pursuant to Section 3 of the Charter, the NEJAC has been specifically designated to provide
independent advice and recommendations to the EPA Administrator on areas relating to
environmental justice that include:
a. Advice on EPA's framework development for integrating socioeconomic programs
into strategic planning, annual planning and management accountability for achieving
environmental justice results agency-wide.
b. Advice on measuring and evaluating EPA's progress, quality, and adequacy in
planning, developing, and implementing environmental justice strategies, projects, and
programs.
c. Advice on EPA's existing and future information management systems, technologies,
and data collection, and to conduct analyses that support and strengthen environmental
justice programs in administrative and scientific areas.
d. Advice to help develop, facilitate, and conduct reviews of the direction, criteria,
scope, and adequacy of the EPA's scientific research and demonstration projects relating
to environmental justice.
e. Advice for improving how the EPA and others participate, cooperate, and
communicate within the Agency and between other Federal agencies, State, or local
governments, Federally recognized Tribes, environmental justice leaders, interest groups,
and the public.
f. Advice regarding EPA's administration of grant programs relating to environmental
justice assistance (not to include the review or recommendations of individual grant
proposals or awards).
g. Advice regarding EPA's awareness, education, training, and other outreach activities
involving environmental justice.
In addition, in accordance with Section 5 of the Charter, the NEJAC provides advice and
recommendations, and reports to the EPA Administrator through the Office of Environmental
Justice ("OEJ"), Office of Enforcement and Compliance Assurance only.
Page 2 of 12
January 23, 2002 (3:19pm)
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III. Summary.
The NEJAC Draft Strategic Plan envisions that the NEJAC Executive Council and
Subcommittees will perform its mission by pursuing the following goals:
A. Work Product Goal: Formal and Informal Advice (Section IV).
B. Deliberative Process Goal (Section IV).
C. Public Participation and Public Input Goal (Section V).
D. Organization and Procedure Goal (Section VI).
E. Communications Goal (Section VII).
F. Orientation of New Council and Subcommittee Members Goal (Section VIII).
An Executive Council schedule for the period ending September 17, 2003, is set forth in Section
X.
To assist the reader's full understanding of the NEJAC Draft Strategic Plan, the existing
structure and plans of the NEJAC are summarized.
A. Meetings. The NEJAC is scheduled to meet twice prior to December 31, 2002. From
December 3-6, 2001, the NEJAC will meet in Seattle to address the Fish Consumption
issue. From December 9-12, 2002, the NEJAC will meet in Baltimore to address the
Pollution Prevention issue.
B. Members. The Executive Council, currently chaired by Peggy Shepard, consists of 26
members, from seven stakeholder groups.
C. Subcommittees. The NEJAC Subcommittees ("Subcommittee") presently authorized by
the EPA are as follows: Air/Water; Enforcement; Health and Research; Indigenous
Peoples; International; Puerto Rico; and Waste and Facility Siting. Each Subcommittee
is sponsored by an EPA program office.1
D. Work Groups. The Executive Council presently has two Work Groups formed by the
EPA for the development of comprehensive reports requested by the EPA. These are: (1)
1 The EPA Program Offices which sponsor NEJAC Subcommittees are:
Air/Water: Office of Air and Radiation, Office of Water
Enforcement: Office of Enforcement and Compliance Assurance
Health and Research: Office of Research and Development, Office of Prevention, Pesticides, and Toxic
Substances.
Indigenous Peoples: Office of Environmental Justice, American Indian Environmental Office
International: Office of International Activities
Puerto Rico: Region 2
Waste and Facility Siting: Office of Solid Waste and Emergency Response
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Fish Consumption; (2) Interagency Strategies to Integrate Environmental Justice. A
Work Group on Pollution Prevention will soon be formed.
E. Expanded Protocol Committee. The Expanded Protocol Committee conducts the
business of the NEJAC when the Executive Council is not in session. Presently, the
Expanded Protocol Committee consists of the Chairs and Vice-Chairs of each NEJAC
Subcommittee, and members who represent industry, and state and local government, to
ensure balance among all stakeholder groups. The Executive Council Chair serves as the
Chair of the Expanded Protocol Committee.
IV. Work Products Goal: Formal and Informal Advice:
To provide advice to the EPA Administrator that is cogent, timely, relevant and effective, the
NEJAC has identified several methods to render such advice. Formal advice developed through
the deliberative process and set forth in comprehensive reports will be the standard method.
However, there may be instances where letters, commentaries, and resolutions may be used.
Informal mechanisms will also be used when requested by the EPA Administrator or otherwise
deemed appropriate by the Executive Council. Informal mechanisms are important to building a
strong collaborative framework between the EPA and the NEJAC.
A. Reports: Reports are the result of in-depth analysis of broad based public policy advice
issues that provide balanced, multi-stakeholder consensus recommendations. Reports
include supporting research, cogent analysis and extensive input from a broad array of
stakeholders. Reports will be the products of Work Groups formed for that purpose.
(Please see Sections V and VII-B for detailed discussion of Work Groups.)
B. Letters: Letters shall provide advice and recommendations on a limited issue and/or in
response to a request needing an immediate response. A letter conveys a set of concerns
and/or balanced, multi-stakeholder consensus recommendations.
C. Commentaries: Commentaries represent a review of existing or proposed EPA
regulations, guidance documents, strategies, plans, policies, and procedures.
D. Resolutions: Resolutions represent a transmittal of concern through a formal expression
of the "sense of the body." Resolutions will be reserved for those concerns that the
NEJAC deems as extraordinary in nature.
E. Informal Advice: The Council recognizes that on occasion rendering cogent, timely,
relevant and independent advice to the EPA Administrator requires informal
communications between individual knowledgeable Executive Council, Subcommittee,
Work Group members or experts, and Agency officials. The Council will utilize
existing mechanisms to informally share ideas, perspectives and questions among multi-
stakeholder groups, and experts, and to provide input to Agency officials.
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To carry out this goal in the period ending September 27, 2003, the EPA, in consultation with the
NEJAC, has formed two Work Groups charged with developing two comprehensive reports on:
(1) the relationship between water quality, fish consumption, and environmental justice; and (2)
promoting innovation in pollution prevention to ensure environmental justice. Two meetings
which focus on these public policy advice issues will be held. In addition, the NEJAC will
complete a report with recommendations on interagency strategies to integrate environmental
justice - the focus of the NEJAC's December 2000 meeting.
V. Deliberative Process Goal.
The Executive Council will develop and implement a deliberative, consultative and collaborative
process on which to base its advice to the EPA Administrator. For the Council to be truly
effective, there must be several co-existing collaborative processes, such as those between the
OEJ and EPA program offices; EPA and the NEJAC; and among the diverse membership of the
NEJAC. The Council will develop a collaborative framework based upon the Charter between
the OEJ, other EPA program offices, and the NEJAC. To achieve this goal the Council will:
A. The OEJ provides direction in writing to the NEJAC regarding the public policy advice
issue(s) it will request the NEJAC to deliberate upon.
1. The OEJ's request regarding public policy advice issue(s) will include the statement
of the issue, an implementation plan for the NEJAC, and the Subcommittees and
Work Groups that may be involved. Direction regarding the public policy advice
issues for 200land 2002 already have been provided by the OEJ.
2. The OEJ may solicit from the NEJAC input regarding public policy advice issue
identification early on in the process, pursuant to Part C below. For example, public
policy advice issue "scoping" and identification will be an agenda item for the
December 2001 NEJAC meeting. The issue of Cumulative Risk was identified by the
OEJ and the Council at the NEJAC Facilitated Dialogue as a possible public policy
advice issue for a possible future meeting. Discussion on this issue will be part of the
"scoping" discussion on the NEJAC December 2001 Meeting Agenda.
B. Conduct business through a deliberative process that promotes consensus building among
representatives of all stakeholder groups, including impacted communities, so that advice
is balanced, effective, cogent, timely and relevant. Three steps will be undertaken by the
NEJAC to meet this goal:
1. Beginning in December 2001, the NEJAC meeting will be organized to create the
best environment for a deliberative process. For example, the meeting will be
conducted in a round table fashion, except for sessions such as the public comment
period. Efforts will be made to communicate this change to the public and the
rationale behind it. Additionally, the NEJAC will no longer be the venue for many
ancillary functions, such as providing the setting for other meetings that are indirectly
related to the purpose of the meeting.
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2. NEJAC will define a consensus process by June 30,2002. NEJAC will make this an
agenda item for the December 2001 meeting. The Executive Council will use the
document entitled, "Distinguishing Polarized Debate From Dialogue," developed by
Justice and Sustainability Associates. (Appendix B.)
3. NEJAC will ensure that the views of all stakeholder groups are part of the public
policy advice issue dialogue.
C. The Executive Council will identify ways by which the NEJAC can best address the
issues identified by the OEJ, and/or identify and recommend other issues for Agency
consideration.
1. Establish an Ad Hoc Scoping Work Group to dialogue with the OEJ and relevant
program offices to identify future public policy advice issues for Agency
consideration. The Ad Hoc Scoping Work Group will be chaired by the NEJAC Chair
or her (his) designee and will be composed of Council members, and include
members who serve on the Expanded Protocol Committee. The Ad Hoc Scoping
Work Group will meet via conference call and build on the issue scoping discussion
at the December 2001 NEJAC meeting. This Ad Hoc Scoping Work Group will
conclude its work by September 30, 2002. The Chair will report periodically to the
Executive Council, Protocol Committee, and also formally report to the NEJAC at its
December 2002 meeting.
2. NEJAC members may solicit input from members of impacted communities and
members of their stakeholder groups utilizing existing communications mechanisms.
D. EPA and the NEJAC will specify a mechanism to implement comprehensive reports and
recommendations. NEJAC recognizes that work on the proposed NEJAC Policy Advice
Development Model presented at the August 2001 Facilitated Dialogue is not finished.
(Appendix C.) This model seeks to provide the essential elements of the NEJAC
deliberative process, i.e., Issue Formulation (Scoping and Identification), Work Group
Establishment, Report and Recommendations Development, NEJAC Decision and
Transmittal to EPA Administrator, EPA Implementation and Report Back, and
Assessment of Effectiveness by NEJAC. The Model will be on the agenda for the
December 2001 meeting and will be finalized by June 30, 2002.
VI. Public Participation and Public Input Goal.
The mission of the NEJAC is to provide independent advice to the EPA Administrator on
matters of environmental justice. Obtaining the views of minority, low-income, indigenous and
agricultural worker populations and of federally recognized tribes is a critical component of the
deliberative process that produces that advice and. the NEJAC will actively employ mechanisms
to solicit that input.
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A. Public Participation at NEJAC Council Meetings.
A public comment period will be included as a part of each Executive Council meeting.
The public will be encouraged to provide comments relevant to the focused public policy
advice issue being deliberated on by the NEJAC. The Executive Council will clearly
state its functions and processes for using public information prior to the public comment
period.
B. Incorporating Community Concerns and Issues into NEJAC Policy Dialogue.
1. The NEJAC will deliberate further on the chart on "Incorporating Community
Concerns and Issues in the NEJAC Policy Dialogue" (Appendix D) at the December
2001 meeting. The NEJAC will finalize this by June 30, 2002.
2. Completing this model is important because it discusses incorporating community
issues and concerns from both process and substantive standpoints. The model will
identify specific ways that the NEJAC can ensure that impacted communities' issues
and concerns are incorporated into the Executive Council deliberative process,
reports, and recommendations.
C. Public Participation at the Regional Level.
This question has special significance to the NEJAC because many local site-specific
issues historically have been brought to the NEJAC's attention. While recognizing that
the NEJAC does not have authority to address these site-specific issues, it also
understands that its ability to function effectively in providing advice and
recommendations to the EPA Administrator is dependent on the EPA's ability to find
mechanisms which respond effectively to these local issues.
Hence, the OEJ has initiated a process whereby the EPA regional offices have agreed to
conduct local listening sessions and other activities to address site-specific issues, many
of which have come to the NEJAC's attention by virtue of its public comment periods.
This should be seen as part of the continuing implementation of the OEJ's goal of
integrating environmental justice in all the EPA's policies, programs, and activities.
Because so many of these issues have come to the NEJAC's attention, it has a special
interest in ensuring the implementation of this process. As soon as a strategy for
conducting these sessions by the EPA Regions has been formulated, the OEJ, in
conjunction with EPA regions, will provide a report to the NEJAC. The NEJAC, in its
role as an advisory body, will advise the EPA on the implementation of this strategy and
provide a set of recommendations regarding these regional listening sessions.
VII. Organization and Procedure Goal.
The NEJAC requests that the EPA initiate a review of the organizational structure and
procedures to enable the NEJAC to more effectively and efficiently develop and render advice to
the EPA Administrator. This will involve a reorientation in two fundamental areas: (1) To
transform the NEJAC process from one centered around meetings, (often viewed as
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January 23,2002 (3:19pm)
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"conferences") to one geared towards developing cogent, effective, timely and relevant
recommendations, more focus around the activities of Work Groups and/or Subcommittees
charged with developing such recommendations is needed. To accomplish this, the NEJAC will
focus on its Policy Advice Development Model and finalize it by June 30,2002; and (2)
Subcommittees will be evaluated on how well they provide advice and recommendations. Five
elements have been identified as key to the successful operation of Subcommittees and Work
Groups: leadership, Designated Federal Officials ("DFO"), membership, linkage to and support
from sponsoring program offices, strategic goals and plan of work.
A. Subcommittees.
1. Recognizing that there exists significant differences between NEJAC Subcommittees
with respect to the five stated elements of success, the NEJAC will develop, in
consultation with the OEJ, a set of procedures by April 30, 2002, to ensure an
operational baseline for all Subcommittees and Work Groups. This will include
uniform procedures and reporting requirements.
2. NEJAC, in consultation with the OEJ and relevant EPA program offices, will
evaluate the effectiveness of the NEJAC Subcommittees. If it is concluded that a
Subcommittee is not effective, the NEJAC will recommend to the EPA the
Subcommittee's dissolution.
3. NEJAC recommends that as part of the uniform procedures for Subcommittee
operation, Subcommittees should be requested to prepare an annual strategic plan and
progress report to be submitted to the OEJ, appropriate EPA program offices, and the
Council for review. Such plans shall include the issues and procedures referred to the
Subcommittee by the Executive Council, and other issues that the Subcommittee
deems appropriate after consultation with its DFO. The NEJAC recommends that
each Subcommittee submit a new or revised plan by September 30, 2002.
4. Each Subcommittee shall be chaired by a member of the Executive Council and
should include representatives of each stakeholder group. A DFO shall be assigned
to each Subcommittee. NEJAC recommends, in recognition of the important roles
played by Subcommittee chairs and DFO's, that their roles be clearly defined with
regard to strategic goals of the Subcommittee.
5. NEJAC recommends that each Subcommittee submit a report to the Executive
Council at least thirty (30) days before each Council meeting. The report shall detail
the Subcommittee's progress on meeting the goals stated in its strategic plan.
B. WorkGroups.
1. In accordance with Section 11 of the NEJAC Charter, the EPA will form Work
Groups to prepare comprehensive draft reports and recommendations to the EPA
Administrator. This is part of the Deliberative Process Goal already articulated in
Section V. As stated, the procedures require greater attention and refinement and can
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be addressed by the NEJAC paying greater attention to the proposed NEJAC Policy
Advice Development Model (Appendix C). Furthermore, this will be on the agenda
for the December 2001 meeting with the goal of finalizing this model by June 30,
2002.
2. By January 31, 2002, the EPA, in consultation with the NEJAC, will form a Work
Group to address the pollution prevention public policy advice issue. The EPA, in
consultation with the Executive Council, will assign the Work Group a specific task,
set a timeframe for performing the task, and specify the type of work product
requested.
3. Each Work Group shall include at least one representative from each stakeholder
group who may, but need not, be a member of the Executive Council. Members of
Work Groups may be stakeholder representatives not on the NEJAC.
4. As resources permit, Work Groups may seek assistance from EPA employees or
experts outside the Agency.
5. Work Groups shall follow the same procedures as Subcommittees regarding
submission of work products for Executive Council review and action.
6. Each Work Group shall sunset upon final Executive Council action on its work
product.
D. NEJAC Council Meetings.
1. F ace to F ace Meetings.
a. Pursuant to Section 8 of the NEJAC Charter, the Executive Council may meet
approximately two times a year. Meetings will take place with the approval of
the Director of the OEJ. In the period ending December 31, 2002, two meetings
have been approved, December 2001 and December 2002. These will be
Business/Public Policy Advice Issue Meetings and conducted as described below.
b. To facilitate its deliberations, NEJAC will organize its meeting room in a round
table fashion. The tables or seating will be moved, as appropriate, during the
public comment period.
2. Business/Public Policy Advice Issue Meetings Planned.
a. The Executive Council has scheduled its Business/Public Policy Advice Issue
Meetings for December 3-6, 2001 (Fish Consumption) and December 9-12, 2002
(Pollution Prevention).
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b. The Business/Public Policy Advice Issue meetings will be divided into two
separate segments. The business segment will follow the same format, receive
the same substantive reports, and focus on the same subject matters as are set
forth above for the business meeting. The policy segment will focus on a public
policy program addressed by a Subcommittee or Work Group. The Public Policy
Advice Issue Program will involve a broad base of stakeholders involved in the
issue. Specific recommendations will be developed in advance of the meeting for
consideration by the Council as a result of the Public Policy Advice Issue
Program. The agenda for the business/public policy meeting will be after
consultation with and final approval of the Council Chair and Expanded Protocol
Committee.
c. Each meeting will include opportunities for public comment that ensure
reasonable time for all members of the public to provide comments.
d. The Executive Council will make every effort to reach consensus (agreement),
and, if necessary, by majority vote on the advice to be rendered to the EPA
Administrator on the public policy advice issue discussed. When necessary,
further work may be requested from a Subcommittee or other group for
resubmission to Council.
e. Decisions of the Executive Council will be made based on appropriate
information and after adequate deliberations. The deliberation process occurs in
the Subcommittee and Work Group process as well as before the Council.
F. Expanded Protocol Committee.
The Expanded Protocol Committee shall conduct the business of the NEJAC when the
Executive Council is not in session. The Expanded Protocol Committee shall include at
least one representative of each stakeholder group. The Expanded Protocol Committee
conference calls will take place at the request and direction of the NEJAC Chair and the
NEJAC DFO.
G. Conference Calls.
The Executive Council and/or the Expanded Protocol Committee will meet via
conference call when face to face meetings are not held. The Expanded Protocol
Committee conference calls will take place on a monthly basis. Full Executive Council
conference calls will occur on an as needed basis, to be determined by the NEJAC Chair
and NEJAC DFO. Special conference calls can also be initiated to consider issues on a
rapid response basis.
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VIII. Communications Goal.
The Executive Council will develop a communications plan that will include at least the
following elements:
A. Improving information flow from the EPA (headquarters and programs) to the Council
will be a focus of the Executive Council. The Executive Council needs to be kept abreast
of Agency activities impacting environmental justice situations.
B. Listservs: Council believes that technology, such as e-mail, provides new procedures and
mechanisms that may facilitate Council's consideration of certain matters in a more
efficient manner than is possible through formal meetings and conference calls. Council
will explore with the OEJ the feasibility of establishing a listserv whose members would
consist of all Council members and DFOs. Council members may use the listserv to
discuss matters properly before the Council including business and policy matters.
IX. Orientation of New Council and Subcommittee Members Goal.
To integrate new members into the Council, all new members will be provided with materials
containing at a minimum the Federal Advisory Committee Act, the NEJAC Charter, operational
guidelines, organizational chart, a list of Council members, a description of the functions of the
Subcommittees, and a list of Subcommittee members; historical information including past
Council membership list and background bibliography notations on environmental justice that
include United Church of Christ 1987 document and Professor Robert Bullard's related books;
and travel guidelines and EPA ethics training for special employees. The new members will be
provided with at least two hours of orientation prior to their first NEJAC meeting, and, at such
meeting, a current NEJAC member will be assigned as a mentor.
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X. NEJAC Council Schedule.
September 24, 2001
November 2001
December 2001
December 2001
January 2002
March/April 2002
March/April 2002
April 2002
June 2002
September 2002
October 2002
December 2002
NEJAC Council Submit Strategic Plan to the EPA
EPA Approval of the Strategic Plan
Council Meeting on Fish Consumption Public Policy Advice Issue
Implementation of Strategic Plan: Discussion at Council Meeting
Establishment of Pollution Prevention Work Group
NEJAC Action on Fish Consumption Report and Recommendations
NEJAC Action on Interagency Environmental Justice Strategies
Report and Recommendations
OEJ to provide uniform procedures for the operation of
Subcommittees
Following Items to be completed:
Ad Hoc Scoping Work Group recommendations
Finalization of NEJAC Policy Advice Development Model
Finalization of Incorporating Impacted Community Issues and
Concerns into NEJAC Policy Dialogue
Develop definition of consensus
Subcommittee Strategic Plans Due
Subcommittee Progress Reports Due
Council Meeting and Pollution Prevention Public Policy Advice Issue
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Attachment A
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY CHARTER
NATIONAL ENVIRONMENTAL JUSTICE ADVISORY COUNCIL
1. Committee's Official Designation (Title):
National Environmental Justice Advisory Council
2. Authority:
This charter renews the National Environmental Justice Advisory Council (NEJAC) in
accordance with the requirements of the Federal Advisory Committee Act (FACA), 5 U.S.C.
App. 2 § 9 (c). NEJAC is in the public interest and supports EPA in performing its duties and
responsibilities.
3. Objectives and Scope of Activities:
NEJAC shall provide independent advice and recommendations to the Administrator on
areas relating to environmental justice that may include:
a. Advice on EPA's framework development for integrating socioeconomic
programs into strategic planning, annual planning and management accountability
for achieving environmental justice results agency-wide.
b. Advice on measuring and evaluating EPA's progress, quality, and adequacy in
planning, developing, and implementing environmental justice strategies, projects,
and programs.
c. Advice on EPA's existing and future information management systems,
technologies, and data collection, and to conduct analyses that support and
strengthen environmental justice programs in administrative and scientific areas.
d. Advice to help develop, facilitate, and conduct reviews of the direction, criteria,
scope, and adequacy of the EPA's scientific research and demonstration projects
relating to environmental justice.
e. Provide advice for improving how the EPA and others participate, cooperate, and
communicate within the Agency and between other Federal agencies, State, or
local governments, Federally recognized Tribes, environmental justice leaders,
interest groups, and the public.
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f. Advice regarding EPA's administration of grant programs relating to
environmental justice assistance (not to include the review or recommendations of
individual grant proposals or awards).
g. Advice regarding EPA's awareness, education, training, and other outreach
activities involving environmental justice.
4. Description of Committees Duties:
The duties of the NEJAC are solely advisory in nature.
5. Official(s) to Whom the Committee Reports:
The NEJAC will provide advice and recommendations, and report to the EPA
Administrator through the Office of Environmental Justice, Office of Enforcement and
Compliance Assurance.
6. Agency Responsible for Providing the Necessary Support:
EPA will be responsible for financial and administrative support. Within EPA, this
support will be provided by the Office of Environmental Justice, Office of Enforcement and
Compliance Assurance.
7. Estimated Annual Operating Costs and Work Years:
The estimated annual operating cost of NEJAC is $970,970 which includes 3.8
work-years of support.
8. Estimated Number and Frequency of Meetings:
The NEJAC may meet approximately two (2) times a year. Meetings will occur as
needed and as approved by the Director of the Office of Environmental Justice who serves as the
Designated Federal Officer (DFO) or his/her designee. EPA may pay travel and per diem
expenses when determined necessary and appropriate. The DFO or his/her designee will be
present at all meetings, and each meeting will be conducted in accordance with an agenda
approved in advance by the DFO. The DFO is authorized to adjourn any meeting when he or she
determines it is in the public interest to do so. As required by FACA, NEJAC will hold open
meetings unless the Administrator determines that a meeting or a portion of a meeting may be
closed to the public in accordance with subsection (c) of Section 552(b) of Title 5, United States
Code and will provide an opportunity for interested persons to file comments before or after such
meetings, or to make statements to the extent that time permits.
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9.
Duration and Termination:
The NEJAC will be examined annually and will exist until the EPA Deputy
Administrator determines the Council is no longer needed. This charter will be in effect for two
years from the date it is filed with Congress. After this two-year period, the charter may be
renewed as authorized in accordance with Section 14 of FACA (5 U.S.C. App. 2 § 14).
10. Member Composition:
The NEJAC will be composed of approximately 26 members. Most members will serve
as representatives of non-Federal interests. Members will be selected from among, but are not
limited to, community-based groups; industry and business; academic and educational
institutions; State and local governments; Federally recognized Tribes and Indigenous groups;
and non-governmental and environmental groups as deemed appropriate.
11. Subgroups:
EPA may form NEJAC subcommittees or workgroups for any purpose consistent with
this charter. Such subcommittees or workgroups may not work independently of the chartered
committee. Subcommittees or workgroups have no authority to make decisions on behalf of the
chartered committee nor can they report directly to the Agency.
August 14, 2001
Agency Approval Date
August 21. 2001
GSA Consultation Date
September 27. 2001
Date Filed with Congress
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ouaiiue ex ousicmiauuiiy Associates, lli^
2330 Good Hope Road, Southeast, Suite 1206
Washington, DC 20020-41^5
(202) 610-0005 " (202) 610-4471 fax
www justicesustainabiiitv cGm
Distinguishing Polarized Debate From Dialogue*
POLARIZED DEBATE
DIALOGUE
Pre-meeting communication between sponsors and
participants is minimal and largely irrelevant to
what follows
Pre-meeting contacts and preparation of
participants are essential elements of the full
process.
Participants tend to be leaders known for
propounding a carefully crafted position. The
persons displayed in the debate are usually already
familiar to the public. The behavior of the
participants tends to conform to stereotypes.
Those chosen to participate re not necessarily
outspoken "leaders." Whoever they are, they
speak as individuals whose own unique
experiences differ in some respect from others on
their "side." Their behavior is likely to vary in some
degree and along some dimensions from
stereotypic images others may hold of them.
The atmosphere is threatening; attacks and
interruptions are expected by participants and are
usually permitted by moderators.
The atmosphere is one of safety; facilitators
propose, get agreement on, and enforce clear
ground rules to enhance safety and promote
respectful exchange.
I Particpants speak as representatives of groups.
Participants speak as individuals, from their own
unique experience.
Participants speak to their own constituents and,
perhacs. to the undecided middle.
Participants speak to each other.
Differences within "sides" are denied or minimized.
Differences among participants on the same "side"
are revealed, as individual and personal
foundations of beliefs and values are explored.
Participants express unswerving commitment to a
point of view, approach, or idea.
Participants express uncertainties, as well as
deeply held beliefs.
Participants listen in order to refute the other side s
data and to expose faulty logic in their arguments.
Questions are asked from a position of certainty.
These questions are often rhetoncal challenges or
disguised statements.
Participants listen to, understand, and gain insight
into the beliefs and concerns of the others.
Questions are asked from a position of cunosity.
Statements are predictable and offer little new
information.
New information surfaces.
Success requires simple impassioned statements.
Success requires exploration of the complexities of
the issue being discussed.
Debates operate within the constraints of the
dominant public discourse. (The discourse defines
the proDlem and the options for resolution. It
assumes that fundamental needs and values are
already clearly understood.)
Participants are encouraged to question the
dominant public discourse, that is, to express
fundamental needs that may or may not be
reflected in the discourse and to explore various
options for problem definition and resolution.
Participants may discover inadequacies in the
usual language and concepts used in the public
debate.
'Justice and Sustainability Associates, LLC acknowledges the Public Conversations Project for
the original design of this chart. The chart contrasts debate as commonly seen on U.S.
television with the kind of dialogue promoted in dialogue sessions conducted by Justice and
Sustainability Associates, LLC.
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Attachment C
PHASE I: ISSUE FORMULATION
Identifying Potential Policy Issue
(¦OEJ, NEJAC, EPA Program Office)
Initial Scoping
Issue/Policy Question Formulation
OEJ Codification of Public Policy Request
Workgroup Establishment and Designation of Chair (s)
(Should involve Subcommittees)
T
PHASE II: REPORT/RECOMMENDATIONS DEVELOPMENT
Outline Development
In-depth Scoping and Research
Ensure Meaningful Stakeholder Involvement, Particularly
Community and Tribal Stakeholders
Drafting
Meeting Report Consultant Retained
Workgroup assists in identifying panelists to address issue
NEJAC Meeting
Executive Council Dialogue
Subcommittees Dialogue
Refine/Expand Draft Recommendations
I
PHASE III: NEJAC ACTION
Finaiization of Recommendations and Report
Transmitta) to Agency
Disband NEJAC Workgroup
T
PHASE IV: IMPLEMENTATION BY EPA
Referral to Appropriate Program Office(s)
Response Letter of Commitments and Implementation Targets
Report Back to NEJAC by EPA Program Office
NEJAC Followup
Was NEJAC's recommendations effective?
What further follow up or action by NEJAC is needed?
How were reommendations implemented?
What were impacts of recommendations?
What programs were developed as result of recommendations?
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INCORPORATING IMPACTED COMMUNITY CONCERNS AND ISSUES
INTO NEJAC/EPA POLICY DIALOGUE
Substantive
Process
]. Focus on Community
Impacts/Issues
2. Address Questions of Disproportion,
Vulnerability, Economics, Social, Etc.
3. Provide, Understand,
Appreciate - Impacted
Communities Context
4. Use Case Examples
5. Provide & Integrate
Relevant Policy Handles
6. Others...
2.
3.
NEJAC POLICY
DIALOGUE
Impacted Community Representatives on
NEJAC or WG
Local Listening Sessions
Obtain Impacted Communities' Input
During Public Comment Period
4. Do Workshops and Briefings with
Impacted Communities on Issue
(Interactive/ Educational)
5. Hold NEJAC Meeting in Appropriate
Location to Enable Community
Participation
6. Have Persons Able to Translate
Community Concerns Into Policy
Context
7. Site Visits
8. Others...
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Executive Order 12898: Env. Justice for Minority Populations
Archive
Title: Executive Order 12898: Env. Justice for Minority Populations
Author: The White House
>ate: Feb 11, 1994
THE WHITE HOUSE
Office of the Press Secretary
For Immediate Release
February 11, 1994
EXECUTIVE ORDER
12898
FEDERAL ACTIONS TO ADDRESS ENVIRONMENTAL JUSTICE
IN MINORITY POPULATIONS AND LOW-INCOME POPULATIONS
By the authority vested in me as President by the Constitution and the laws of the United States of America, it is hereby
ordered as follows:
Section 1-1. Implementation.
I-101. Agency Responsibilities. To the greatest extent practicable and permitted by law, and consistent with the
principles set forth in the report on the National Performance Review, each Federal agency shall make achieving
environmental justice part of its mission by identifying and addressing, as appropriate, disproportionately high and
adverse human health or environmental effects of its programs, policies, and activities on minority populations and low-
income populations in the United States and its territories and possessions, the District of Columbia, the Commonwealth
of Puerto Rico, and the Commonwealth of the Mariana Islands.
1-102. Creation of an Interagency Working Group on Environmental Justice.
a. Within 3 months of the date of this order, the Administrator of the Environmental Protection Agency
("Administrator") or the Administrator's designee shall convene an interagency Federal Working Group on
Environmental Justice ("Working Group"). The Working Group shall comprise the heads of the following executive
agencies and offices, or their designees: (a) Department of Defense; (b) Department of Health and Human
Services; (c) Department of Housing and Urban Development; (d) Department of Labor; (e) Department of
Agriculture; (f) Department of Transportation; (g) Department of Justice; (h) Department of the Interior; (i)
Department of Commerce; (j) Department of Energy; (k) Environmental Protection Agency; (I) Office of
Management and Budget; (m) Office of Science and Technology Policy; (n) Office of the Deputy Assistant to the
President for Environmental Policy; (o) Office of the Assistant to the President for Domestic Policy; (p) National
Economic Council; (q) Council of Economic Advisers; and (r) such other Government officials as the President may
designate. The Working Group shall report to the President through the Deputy Assistant to the President for
Environmental Policy and the Assistant to the President for Domestic Policy.
b. The Working Group shall:
1. provide guidance to Federal agencies on criteria for identifying disproportionately high and adverse human
health or environmental effects on minority populations and low-income populations;
2. coordinate with, provide guidance to, and serve as a clearinghouse for, each Federal agency as it develops
an environmental justice strategy as required by section 1-103 of this order, in order to ensure that the
administration, interpretation and enforcement of programs, activities and policies are undertaken in a
consistent manner;
3. assist in coordinating research by, and stimulating cooperation among, the Environmental Protection
Agency, the Department of Health and Human Services, the Department of Housing and Urban
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Executive Order 12898: Env. Justice for Minority Populations
Development, and other agencies conducting research or other activities in accordance with section 3-3 of
this order;
4. assist in coordinating data collection, required by this order;
5. examine existing data and studies on environmental justice;
6. hold public meetings as required in section 5-502(d) of this order; and
7. develop interagency model projects on environmental justice that evidence cooperation among Federal
agencies.
1-103. Development of Agency Strategies.
Except as provided in section 6-605 of this order, each Federal agency shall develop an agency-wide environmental
justice strategy, as set forth in subsections (b)-(e) of this section that identifies and addresses disproportionately
high and adverse human health or environmental effects of its programs, policies, and activities on minority
populations and low-income populations. The environmental justice strategy shall list programs, policies, planning
and public participation processes, enforcement, and/or rulemakings related to human health or the environment
that should be revised to, at a minimum: (1) promote enforcement of all health and environmental statutes in
areas with minority populations and low-income populations; (2) ensure greater public participation; (3) improve
research and data collection relating to the health of and environment of minority populations and low-income
populations; and (4) identify differential patterns of consumption of natural resources among minority populations
and low-income populations. In addition, the environmental justice strategy shall include, where appropriate, a
timetable for undertaking identified revisions and consideration of economic and social implications of the
revisions.
a. Within 4 months of the date of this order, each Federal agency shall identify an internal administrative process for
developing its environmental justice strategy, and shall inform the Working Group of the process.
b. Within 6 months of the date of this order, each Federal agency shall provide the Working Group with an outline of
its proposed environmental justice strategy.
c. Within 10 months of the date of this order, each Federal agency shall provide the Working Group with its proposed
environmental justice strategy.
d. Within 12 months of the date of this order, each Federal agency shall finalize its environmental justice strategy an
provide a copy and written description of its strategy to the Working Group. During the 12 month period from the
date of this order, each Federal agency, as part of its environmental justice strategy, shall identify several specific
projects that can be promptly undertaken to address particular concerns identified during the development of the
proposed environmental justice strategy, and a schedule for implementing those projects.
e. Within 24 months of the date of this order, each Federal agency shall report to the Working Group on its progress
in implementing its agency-wide environmental justice strategy.
f. Federal agencies shall provide additional periodic reports to the Working Group as requested by the Working
Group.
1-104. Reports to the President. Within 14 months of the date of this order, the Working Group shall submit to the
President, through the Office of the Deputy Assistant to the President for Environmental Policy and the Office of the
Assistant to the President for Domestic Policy, a report that describes the implementation of this order, and includes the
final environmental justice strategies described in section l-103(e) of this order.
Sec. 2-2. Federal Agency Responsibilities for Federal Programs.
Each Federal agency shall conduct its programs, policies, and activities that substantially affect human health or the
environment, in a manner that ensures that such programs, policies, and activities do not have the effect of excluding
persons (including populations) from participation in, denying persons (including populations) the benefits of, or
subjecting persons (including populations) to discrimination under, such programs, policies, and activities, because of
their race, color, or national origin.
Sec. 3-3. Research, Data Collection, and Analysis.
3-301. Human Health and Environmental Research and Analysis.
1. Environmental human health research, whenever practicable and appropriate, shall include diverse segments of
the population in epidemiological and clinical studies, including segments at high risk from environmental hazards,
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Executive Order 12898: Env. Justice for Minority Populations
such as minority populations, low-income populations and workers who may be exposed to substantial
environmental hazards.
2. Environmental human health analyses, whenever practicable and appropriate, shall identify multiple and
cumulative exposures.
3. Federal agencies shall provide minority populations and low-income populations the opportunity to comment on
the development and design of research strategies undertaken pursuant to this order.
3-302. Human Health and Environmental Data Collection and Analysis. To the extent permitted by existing law,
including the Privacy Act, as amended (5 U.S.C. section 552a):
a. each Federal agency, whenever practicable and appropriate, shall collect, maintain, and analyze information
assessing and comparing environmental and human health risks borne by populations identified by race, national
origin, or income. To the extent practical and appropriate, Federal agencies shall use this information to determine
whether their programs, policies, and activities have disproportionately high and adverse human health or
environmental effects on minority populations and low-income populations;
b. In connection with the development and implementation of agency strategies in section 1-103 of this order, each
Federal agency, whenever practicable and appropriate, shall collect, maintain and analyze information on the race,
national origin, income level, and other readily accessible and appropriate information for areas surrounding
facilities or sites expected to have a substantial environmental, human health, or economic effect on the
surrounding populations, when such facilities or sites become the subject of a substantial Federal environmental
administrative or judicial action. Such information shall be made available to the public, unless prohibited by law;
and
c. Each Federal agency, whenever practicable and appropriate, shall collect, maintain, and analyze information on the
race, national origin, income level, and other readily accessible and appropriate information for areas surrounding
Federal facilities that are: (1) subject to the reporting requirements under the Emergency Planning and Community
Right-to-Know Act, 42 U.S.C. section 11001- 11050 as mandated in Executive Order No. 12856; and (2) expected
to have a substantial environmental, human health, or economic effect on surrounding populations. Such
information shall be made available to the public, unless prohibited by law.
d. In carrying out the responsibilities in this section, each Federal agency, whenever practicable and appropriate, shall
share information and eliminate unnecessary duplication of efforts through the use of existing data systems and
cooperative agreements among Federal agencies and with State, local, and tribal governments.
Sec. 4-4. Subsistence Consumption of Fish and Wildlife.
4-401. Consumption Patterns. In order to assist in identifying the need for ensuring protection of populations with
differential patterns of subsistence consumption of fish and wildlife, Federal agencies, whenever practicable and
appropriate, shall collect, maintain, and analyze information on the consumption patterns of populations who principally
rely on fish and/or wildlife for subsistence. Federal agencies shall communicate to the public the risks of those
consumption patterns.
4-402. Guidance. Federal agencies, whenever practicable and appropriate, shall work in a coordinated manner to
publish guidance reflecting the latest scientific information available concerning methods for evaluating the human health
risks associated with the consumption of pollutant-bearing fish or wildlife. Agencies shall consider such guidance in
developing their policies and rules.
Sec. 5-5. Public Participation and Access to Information.
1. The public may submit recommendations to Federal agencies relating to the incorporation of environmental justice
principles into Federal agency programs or policies. Each Federal agency shall convey such recommendations to
the Working Group.
2. Each Federal agency may, whenever practicable and appropriate, translate crucial public documents, notices, and
hearings relating to human health or the environment for limited English speaking populations.
3. Each Federal agency shall work to ensure that public documents, notices, and hearings relating to human health or
the environment are concise, understandable, and readily accessible to the public.
4. The Working Group shall hold public meetings, as appropriate, for the purpose of fact-finding, receiving public
comments, and conducting inquiries concerning environmental justice. The Working Group shall prepare for public
review a summary of the comments and recommendations discussed at the public meetings.
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Executive Order 12898: Env. Justice for Minority Populations
Sec. 6-6. General Provisions.
6-601. Responsibility for Agency Implementation. The head of each Federal agency shall be responsible for
ensuring compliance with this order. Each Federal agency shall conduct internal reviews and take such other steps as m
be necessary to monitor compliance with this order.
6-602. Executive Order No. 12250. This Executive order is intended to supplement but not supersede Executive
Order No. 12250, which requires consistent and effective implementation of various laws prohibiting discriminatory
practices in programs receiving Federal financial assistance. Nothing herein shall limit the effect or mandate of Executive
Order No. 12250.
6-603. Executive Order No. 12875. This Executive order is not intended to limit the effect or mandate of Executive
Order No. 12875.
6-604. Scope. For purposes of this order, Federal agency means any agency on the Working Group, and such other
agencies as may be designated by the President, that conducts any Federal program or activity that substantially affects
human health or the environment. Independent agencies are requested to comply with the provisions of this order.
6-605. Petitions for Exemptions. The head of a Federal agency may petition the President for an exemption from the
requirements of this order on the grounds that all or some of the petitioning agency's programs or activities should not be
subject to the requirements of this order.
6-606. Native American Programs. Each Federal agency responsibility set forth under this order shall apply equally to
Native American programs. In addition, the Department of the Interior, in coordination with the Working Group, and,
after consultation with tribal leaders, shall coordinate steps to be taken pursuant to this order that address Federally-
recognized Indian Tribes.
6-607. Costs. Unless otherwise provided by law, Federal agencies shall assume the financial costs of complying with ttv
order.
6-608. General. Federal agencies shall implement this order consistent with, and to the extent permitted by, existing
law.
6-609. Judicial Review. This order is intended only to improve the internal management of the executive branch and is
not intended to, nor does it create any right, benefit, or trust responsibility, substantive or procedural, enforceable at law
or equity by a party against the United States, its agencies, its officers, or any person. This order shall not be construed
to create any right to judicial review involving the compliance or noncompliance of the United States, its agencies, its
officers, or any other person with this order.
WILLIAM J. CLINTON
THE WHITE HOUSE,
February 11, 1994.
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NATIONAL ENVIRONMENTAL JUSTICE
ADVISORY COUNCIL
ADVANCING ENVIRONMENTAL JUSTICE
THROUGH POLLUTION PREVENTION
REPORT
Pre-Meeting Discussion Draft
November 2002
Developed in preparation for the NEJAC Meeting of
December 9-13, 2002 in Baltimore, Maryland
PLEASE DO NOT CITE OR QUOTE
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NOTICE
Please accept this Pre-Meeting Discussion Draft as a basis for discussion during the
December 9-12, 2002 meeting of the National Environmental Justice Advisory Council
(NEJAC) andfor comment before, during, and after the meeting. This Draft represents
the efforts of the NEJAC Pollution Prevention Work Group on the topic of Advancing
Environmental Justice through Pollution Prevention to begin to identify and discuss the
myriad of opportunities in applying pollution prevention to benefit environmental justice
communities. Aspects of the issues related to the relationship between pollution
prevention and environmental justice are covered in a consensus report. The individual
perspectives of each of the four stakeholder groups - communities, tribes, business &
industry, and government- are also contained in this Pre-Meeting Draft. While the
NEJAC Pollution Prevention Work Group has begun the work of gathering the numerous
and diverse perspectives that need to be brought to bear to deliberate these issues, it
recognizes that there are more perspectives to be noted and explored, and looks forward
to a rich and open discussion. The NEJAC Pollution Prevention Work Group would like
to acknowledge the many individuals and groups that have already shared their
experience and expertise. The Work Group hopes that this Pre-Meeting Draft captures
accurately the information shared, and, of course, invites comments to this end.
PLEASE DO NOT CITE OR QUOTE ANY OF
THE MA TER1AL IN THIS DRAFT.
This report and proposals have been written as part of the activities of the
National Environmental Justice Advisory Council, a public advisory committee
providing independent advice and recommendations on the issue of
environmental justice to the Administrator and other officials of the United
States Environmental Protection Agency (EPA).
The EPA has not reviewed this report for approval and, hence, its contents and
proposals do not necessarily represent the views and the policies of the Agency,
nor of other agencies in the Executive Branch of the federal government.
This report was prepared by the NEJAC Pollution Prevention Work Group with
assistance from Samara Swanston, Esq.
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NEJAC ADVANCING ENVIRONMENTAL JUSTICE THROUGH
POLLUTION PREVENTION REPORT
TABLE OF CONTENTS
SUMMARY (v - vii)
PARTI: CONSENSUS REPORT
Chapter 1: Consensus Chapter (l)
• Introduction (1)
• Purpose of the Report (5)
• Background on Pollution Prevention (6)
o Definition
o Opportunities
• Background on Environmental Justice (8)
• Pollution Prevention and Environmental Justice (10)
o Pollution Issues in Environmental Justice and Tribal Communities
o Towards a Multi-Stakeholder Collaborative Model to Advance
Environmental Justice through Pollution Prevention
• Critical Barriers to Advancing Environmental Justice through Pollution
Prevention (16)
• Pollution Prevention and Environmental Justice Framework (19)
Chapter 2: Consensus Proposals (22)
• Proposal #1: Develop and Promote Implementation of a Multi-stakeholder
Collaborative Model to Advance Environmental Justice through Pollution
Prevention. (22)
¦ Background
¦ Action Plan
• Proposal #2: Increase Community and Tribal Participation in Pollution
Prevention Partnerships by Promoting Capacity-building. (24)
¦ Background
¦ Action Plan
• Proposal #3: Identify and Implement Opportunities to Advance
Environmental Justice through Pollution Prevention in Federal
Environmental Statutes. (25)
¦ Background
¦ Action Plan
• Proposal #4: Promote Local Area Multi-Media, Multi-Hazard Reduction
Planning and Implementation. (26)
¦ Background
¦ Action Plan
• Proposal #5: Encourage "Green buildings," "Green businesses," and "Green
industries" through EPA's Brownfields and Smart Growth programs. (27)
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¦ Background
¦ Action Plan
• Proposal #6: Promote Product Substitution and Process Substitution in
Areas which Impact Low-income, Minority and Tribal Communities. (29)
¦ Background
¦ Action Plan
• Proposal #7: Promote Efforts to Incorporate Pollution Prevention in
Supplemental Environmental Projects (SEPs). (30)
¦ Background
¦ Action Plan
® Proposal #8: Promote Just and Sustainable Transportation Projects and
Initiatives. (32)
¦ Background
¦ Action Plan
• Proposal #9: Strengthen Implementation of Pollution Prevention Programs
on Tribal Lands and Alaskan Native Villages. (33)
¦ Background
¦ Action Plan
• Proposal #10: Promote Efforts to Institutionalize Pollution Prevention
Internationally, Particularly in Developing Countries. (35)
¦ Background
¦ Action Plan
• Proposal #11: Provide Incentives to Promote Collaboration Among
Communities, Business and Government on Pollution Prevention Projects in
Environmental Justice Communities. (37)
¦ Background
¦ Action Plan
• Other Proposals under Consideration (39)
PART II: STAKEHOLDER PERSPECTIVES
Chapter 3: Community perspectives (41)
• Introduction (41)
• Understanding Pollution Impacts (42)
o Health and Environmental Impacts
o Societal and Developmental Impacts
o Economic Impacts
o International Impacts
• Enforcement Issues (47)
• Addressing Community Impacts Through Pollution Prevention (48)
• Areas Where Pollution Prevention Can Improve Environmental Quality (50)
• Capacity-Building for Effective Community Participation in Pollution
Prevention (51)
• Community Recommendations (52)
• Conclusion (55)
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Chapter 4: Tribal perspectives (56)
• The Legal Status and Rights of Tribes (56)
• Tribal Pollution Concerns that Can Be Addressed by Pollution Prevention
(58)
• Possible Approaches for Implementing Pollution Prevention In and Near
Tribal Lands (61)
Chapters: Business & Industry Perspectives (64)
• Introduction (64)
• Current Business and Industry Efforts (68)
o Multi-Media Approach
o Area Wide Approaches
¦ Removal of Regulatory Impediments to Pollution Prevention
¦ Recycling and Reuse
¦ Pollution Prevention Initiatives in Permits
¦ Environmental Management Systems
¦ Emissions Reduction in Trading Programs
¦ Pollution Prevention Components in Enforcement Actions
• Communications Initiatives to Provide Incentives for Pollution Prevention
(74)
o Corporate Environmental Reporting
o 33/50 Program
o Information on Product Content
• Collaborative engagement to prevent pollution (75)
o Brownfields Revitalization
o Responsible Care
• Voluntary efforts (77)
o Product substitution/clean production
o Sustainable production/renewable resources
o Energy Efficiency
o Conservation and Green Space Initiatives
o Sector Identification of "Best Management Practices"
• Resources, Incentives and Capacity Building (79)
o Green Subsidies
¦ Renewable Fuel Vehicles and Other Green Energy Incentives
¦ Brownfields Redevelopment Incentives
¦ Subsidies for Installation of Green Technology
o Green Procurement and Recycled Content Mandates and Subsidies
o Research and Development Assistance
o Regulatory flexibility
o Regulatory Focus
o Information
• Public Recognition (85)
o Government awards/communication of good practices
o Stakeholder Group Recognition
o Multi-Stakeholder Group Recognition
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• Facilitation of Collaborative Engagement (86)
o Interagency Working Group (IWG) Template
o Supplemental Environmental Projects (SEPs)
• Business Recommendations to Enhance Pollution Prevention In
Environmental Justice Communities (90)
Chapter 6: Government perspectives (93)
• Historical and Regulatory Footprints (93)
• Pollution Prevention and Environmental Justice (94)
• Questions and Resolutions concerning Pollution Prevention and
Environmental Justice (95)
• Governmental Integration of Pollution Prevention and Environmental
Justice (97)
• Federal Government and Pollution Prevention (98)
• State Government and Pollution Prevention (103)
• Local Government and Pollution Prevention (105)
• Tribal Government and Pollution Prevention (107)
• Governmental Partnerships (108)
o The National Environmental Performance Partnership System
o Compliance and Technical Assistance
• Pollution Prevention and Performance Measurement (111)
• Pollution Prevention Model (112)
• Conclusion (114)
APPENDICES
Appendix I: Current Pollution Prevention mandates in
Federal Statutes (117)
Appendix II: Pollution Prevention Partnership
Programs (120)
Appendix III: Pollution Prevention Work Group
Members (124)
IV
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NATIONAL ENVIRONMENTAL JUSTICE ADVISORY COUNCIL (NEJAC)
ADVANCING ENVIRONMENTAL JUSTICE THROUGH
POLLUTION PREVENTION REPORT
Pre-Meeting Discussion Draft
Developed in preparation for NEJAC Meeting of
December 9-12, 2002 in Baltimore, Maryland
Summary
The National Environmental Justice Advisory Council ("NEJAC") is a formal federal
advisory committee of the U.S. Environmental Protection Agency (EPA). Its charter
states that the NEJAC is to provide advice and recommendations on matters related to
environmental justice to the EPA Administrator. The EPA Office of Environmental
Justice requested that NEJAC examine how the innovative use of pollution prevention
can help alleviate pollution problems in environmental justice communities. This Pre-
Meeting Discussion Draft has been compiled in preparation for the NEJAC's December 2002
meeting. It is intended to serve as a basis for discussing the following public policy question:
How can EPA promote innovation in the field of pollution prevention,
waste minimization, and related areas to more effectively ensure a
clean environment and quality of life for all peoples, including low-
income, minority and tribal communities?
In response to the request from the EPA Office of Environmental Justice, the NEJAC
plans to conduct an issue-oriented public meeting in Baltimore, Maryland on December
9-12, 2002 to receive comments on, discuss and analyze innovative approaches to use
pollution prevention concepts to advance environmental justice. In order to provide
advice and recommendations on ways that pollution prevention can advance
environmental justice, the NEJAC established a Pollution Prevention Work Group. This
Work Group is composed of representatives of diverse stakeholder groups, including
community and tribal organizations, business and industry, state and local government,
and academia.
The NEJAC Pollution Prevention Work Group developed this comprehensive Pre-
Meeting Draft Report to serve as a basis for discussion at the December 2002 meeting.
The draft report and its consensus proposals reflect the consensus views of the diverse
stakeholder groups represented on the Work Group. For purposes of the NEJAC draft
report, pollution prevention is defined by members of the Work Group as mechanisms
which protect the environment and improve the quality of life for disproportionately
impacted low-income, people of color, and/or tribal communities by systematically
reducing, eliminating and/or preventing pollution.
A robust consideration of the findings resulting from this inquiry should advance the
interests of pollution reduction and improved environmental quality shared by impacted
stakeholders, the general public, the EPA and the NEJAC. This draft report works to
identify and discuss the particular issues that this question raises when - as is often the
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case - those negatively impacted by pollution are low-income communities, communities
of color, and American Indian tribes/Alaskan Native villages and their members.
This draft report consists of two parts. The first part is the Consensus Report and
contains two chapters: a consensus chapter and consensus proposals. This consensus
report represents positions, which all the major stakeholder groups in the NEJAC
Pollution Prevention Work Group have agreed upon, and provides context, background,
premises, conclusions and series of proposals. The second part consists of four
stakeholder group perspectives, i.e., communities, tribes, business and industry, and
government. Eventually, a third part may be added to identify and describe specific case
studies applying pollution prevention methodologies to environmental justice
communities. Appendices will also be included.
PART I: CONSENSUS REPORT
Chapter 1: Consensus Chapter
Chapter 1 provides and introduction and the purpose of the report, then gives a
background on pollution prevention, environmental justice, and how the two movements
have and can work together, including the development of a multistakeholder
collaborative model. The chapter presents a framework for advancing environmental
justice through pollution prevention, as well as an initial set of critical barriers.
Chapter 2: Consensus Proposals
Chapter 2 outlines a series of eleven proposed consensus recommendations, providing
background and concrete action steps. The following proposals span a range of policy
and programmatic areas relevant to EPA:
• Proposal #1: Develop and promote implementation of a multi-stakeholder
collaborative model to advance environmental justice through pollution
prevention.
• Proposal #2: Increase community and tribal participation in pollution prevention
partnerships by promoting capacity building.
• Proposal #3: Identify and implement opportunities to advance environmental
justice through pollution prevention in federal environmental statutes.
• Proposal #4: Promote local area multi-media, multi-hazard reduction planning and
implementation.
• Proposals #5: Encourage "green buildings," "green businesses," and "green
industries" through EPA's Brownfields and Smart Growth programs.
• Proposal #6: Promote product substitution and process substitution in areas which
impact low-income, minority and tribal communities.
• Proposal #7: Promote efforts to incorporate pollution prevention in Supplemental
Environmental Projects (SEPs).
• Proposal #8: Promote just and sustainable transportation projects and initiatives.
• Proposal #9: Strengthen implementation of pollution prevention programs on
tribal lands and Alaskan Native villages.
• Proposal #10: Promote efforts to institutionalize pollution prevention
internationally, particularly in developing countries.
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• Proposal #11: Provide incentives to promote collaboration among communities,
business and government on pollution prevention projects in environmental
justice communities.
PART II: STAKEHOLDER PERSPECTIVES
Chapters 3-6 provide four stakeholder group perspectives on pollution prevention and
environmental justice. These are community, tribal, business and industry, and
government perspectives.
Chapter 3 gives an overview of the community perspective of understanding pollution
impacts, including health, environmental, societal and economic impacts. Enforcement
issues and current environmental controls are highlighted and provide a greater
understanding of what has and has not worked outside of the area of pollution prevention.
Areas where pollution prevention can improve environmental quality is discussed, as well
as capacity building for communities in order for communities to effectively participate
in these pollution prevention efforts. A series of recommendations from the community
perspective concludes this chapter.
Chapter 4 addresses the complex issue of the legal status and rights of tribes. Pollution
concerns in and near tribal lands that can be impacted by pollution prevention and
implementation of these pollution prevention projects are also reviewed.
Chapter 5 begins with current business and industry efforts to employ for both multi-
media and area wide approaches to pollution prevention. The next section addresses
initiatives that provide incentives to undertake pollution prevention activities.
Collaborative (Responsible Care) and voluntary (product substitution) efforts are
reviewed. Resources and incentives for capacity building, such as green subsidies and
regulatory flexibility are then addressed. The chapter closes with a section on public
recognition, facilitating a collaborative approach, and the business recommendations to
enhance pollution prevention in environmental justice communities.
Chapter 6 begins by reviewing the historical and regulatory footprints of the
environmental movement. The next portion of this chapter addresses pollution
prevention and environmental justice, including a background, questions and resolutions,
and governmental integration. Pollution prevention is then reviewed from federal, state,
local and tribal government perspectives. The chapter closes with performance
measurement and a model for pollution prevention.
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Chapter 1: Consensus Chapter
INTRODUCTION
Advancing environmental justice through pollution prevention is part of a transition to a
new vision of environmental responsibilities among between business, government and
impacted communities. As we move from our contemporary framework into new
relationships, pollution prevention strategies and approaches can shift our limited
resources into more productive, revitalizing work, assisted and enabled by community
members. We can achieve benefits of risk reduction and secure the benefits of
modernization in our most endangered communities, by using this type of innovation in
impacted communities to augment traditional environmental protection mechanisms.
New technologies are available to build vibrant communities producing and using high
quality, low cost environmentally sound products produced in an environmentally sound
manner while providing jobs and engaging industry in bringing about real change.
Environmental justice communities can serve as learning laboratories for constructive
innovation.
Central to the transformations needed in the community is a paradigm shift from the
control of environmental contamination and minimization of the effects of sudden and
accidental releases from industrial facilities to the prevention of pollution and chemical
accidents at the source. This requires technological, organizational, and work practice
changes. The needed changes may involve more than the adoption of better off-the-shelf
technologies, and approaches. Innovation in the development of new products, processes,
and approaches may be necessary. Still more dramatic changes may be required at the
system level to encourage sustainable products and sustainable production leading to
sustainable development. Communities and tribes, business and industry, and
government are essential partners in this endeavor.
Administrator Christine Todd Whitman confirmed 1 EPA's commitment to
environmental justice, saying "[environmental justice is the goal to be achieved for all
communities and persons across this nation" and that it will be achieved when everyone
enjoys the same degree of protection from environmental and health hazards and has a
"healthy environment where they live, learn and work." U.S. Secretary of State Colin
Powell's comments at the World Summit targeted poverty and destruction of the
environment as issues that can destabilize nations and described sustainable development
as a "means to unlock human potential through economic development based upon sound
economic policy, social development based upon investment in health and education and
1 Christine Todd Whitman, Environmental Protection Agency, EPA's Commitment to Environmental
Justice, Memorandum, August 9, 2001.
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Advancing Environmental Justice through Pollution prevention
NEJAC Pollution Prevention Work Croup Pre-Meeting Draft
Chapter 1: Consensus Chapter
November, 2002
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responsible stewardship of the environment."2 Secretary Powell described our time as a
"century of promise" but cautioned that the great potential evident comes with a
responsibility to turn it into a "century of hopes fulfilled and sustained development that
enriches all people without impoverishing the planet."3 Secretary Powell's comments
identify the inherent challenge in using pollution prevention to advance environmental
justice through sustainable development.
One of the most significant implications of the 2002 United Nations World Summit on
Sustainable Development4 is greater impetus for addressing both pollution prevention and
environmental justice together. At the World Summit, participants agreed upon a Plan of
Implementation that recognized the linkages among poverty, health and the environment
in addressing environmental health threats, especially as they impact upon vulnerable
populations. The implementation plan calls for "national initiatives to accelerate the shift
towards sustainable.. .production by.. .de-linking economic growth and environmental
degradation through improving efficiency and sustainability in the use of resources and
production processes and reducing resource degradation, pollution and waste."5
We live in a time when interest in improved environmental quality is shared by most
Americans and particularly by residents of low-income communities and communities of
color. This is also a time when events in our society that have occurred simultaneously
highlight opportunities for natural synergies that hold great promise. Two such events
are the emergence of the environmental justice and pollution prevention movements.
Historically the environmental justice movement and the pollution prevention movement
developed independently. Environmental justice advocates sought environmental
improvements, despite resistance from critics who argued that environmental
improvements came at a cost to economic growth. Preventing pollution was initially
couched in facility specific and technical terms that left little access for non-technical
members of impacted communities. Yet both movements have traveled similar roads.
Over the past 15 years both movements witnessed a surge of public attention and a
substantial catalogue of successes in advancing their objectives. Both movements have
also experienced change. The pollution prevention movement has experienced a slowing
of progress as pollution prevention advanced to a point where more technical and
complex efforts are now needed. The environmental justice movement has experienced
refinement and maturation as it contends with the complexities of developing proactive
2 Secretary Colin L. Powell, Making Sustainable Development Work: Governance. Finance and Public-
Private Cooperation, at p. 2, Remarks at State Department Conference, Meridian International Center,
Washington, D.C., July 12, 2002.
3 Id.
4 The United Nations World Summit on Sustainable Development was held in South Africa in August-
September of 2002.
5 United Nations World Summit on Sustainable Development, Plan of Implementation. Advance unedited
September 4, 2002 text, p. 5, III, Changing unsustainable patterns of consumption and production at pp. 14.
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strategies that effectively address a multiplicity of environmental, health, economic, and
social concerns.
Over the past fifteen years a number of strategies have been proposed and / or
implemented to reduce the impacts of pollution and improve environmental quality for
tribal communities, low-income communities and communities of color. Some of these
strategies were seen as ways to eliminate disproportionate environmental burdens and
their attendant adverse health effects,6 and have included executive directives and
statutorily based strategies ranging from new state legislation to litigation using existing
environmental and civil rights laws or regulations.
In addition, an ever-growing body of research has been accumulated from several
programs initiated by both private and public entities, some concomitantly. EPA alone
has a myriad of voluntary partnership programs that are based in pollution prevention
principles and improved environmental management systems. Many individual major
corporations and business organizations have undertaken important sustainable
development initiatives. For example, in the United States the Global Environmental
Management Initiative, a consortium of major corporations, developed tools for use by
corporations managing their environmental issues, including guidance for addressing
sustainable development, and The Conference Board has conducted and published
research concerning corporate environmental management and corporate social
responsibility. Internationally, the World Business Council for Sustainable Development,
which includes U.S. as well as international corporations, has taken a leadership role in
promoting sustainable development. Another important initiative involves representatives
of major corporations, venture capitalists, and small companies, academic and non-profit
organizations in looking at how to provide low cost, high quality, low environmental
footprint products to poor communities worldwide.
While a variety of these strategies have been effective, environmental justice
communities still need even more tools to eliminate and reduce toxic exposures.
Nevertheless, exploring all of these strategies has allowed us to get to this point where we
can more clearly see and capitalize on our opportunities. Today, there appears to be a
host of benefits in promoting pollution prevention, especially as a means of achieving
environmental justice objectives.
These are complex times for new initiatives and short-term trends are unsettling. The
recent chilling of the heated economy means less available resources and more
competition for a dwindling supply of public and private dollars. A heightened concern
over terrorism and national security has re-directed government priorities at both the state
and national levels. Longer-term structural shifts in the national economy also present
major challenges. Increasing globalization with a transition from traditional
6 Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and
Low-Income Populations. February 11, 1994.
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manufacturing to services and information technology has emerged in developed
countries and growing operations of transnational corporations across the world is
accompanied by a growing distance between those who are doing well and those who are
not. Longer-term trends such as habitat loss and alteration threaten resource
conservation, biodiversity and the benefits that result from it.7 Climate change and fresh
water resources will also be a driving factor in the global economy in the immediate
coming years.8 These shifts are certain to affect the generation of pollution and wastes
and on the prospects of those in indigenous and low-income communities and developing
countries.
Amid such challenges appear a wealth of new opportunities and highlight the need for
change. The growing importance of international environmental policies around
chemicals, water use, waste trade, and climate protection9 has created new influences in
shaping environmental policy, and advanced the importance of establishing regulations to
protect the environment and the public health. The importance of international markets
has sharpened the global attention of national businesses. The emergence of interest in
environmental justice around the world offers prospects for new energy and cross-
national collaborations. A new business ethic that embraces environmental management
as a core business objective makes pollution prevention and clean production and their
associated economic benefits welcome values in shaping production and product design
decisions.10 There is also a new focus on the safety of plants that store and manufacture
chemicals, measures that would require plants to look beyond traditional security
measures and examine "substituting less volatile or toxic chemical for substances
currently in use and storing less material on site." 11
7 National Geographic News, Near Total Ape-Habitat Loss Foreseen bv 2030. United Nations Environment
Program, Great Ape Survival Project (The report, released at the World Summit on Sustainable
Development, indicated that less than 10% of the remaining habitat of the great apes will be left relatively
undisturbed if the road building, mining and infrastructure developments continue at current levels.)
available at http://news.nationalgeographic.com/news/2002/09/09Q3 020903 apes.html: BBCI, State of the
Planet, Habitat Loss (stating that half of the world's forest have been lost with the rate of loss ten times
higher than the rate of regrowth, that one sixth of the world's living primate species will go extinct in the
wild in the next 10-20 years and that the only species not truly affected by habitat loss are those which
benefit from human activity such as cock roaches, rats and house finches) available at
www.bbc.co.uk/progTammes/tv/state planet/habitat.shtml
8 University of Cambridge, Climate Change.. .The Facts, What Can Be Done to Prevent Further Climate
Change, Climate Change 2001: Mitigation ("The good news is that technological progress to reduce
emissions or find new, non-fossil energy sources has been faster than anticipated in the second IPCC
Assessment Report (1996). More efficient hybrid engines, wind turbines and elimination of some
industrial by-product gasses are examples.)" available at www.alphagalileo.org/index.cfm.
9 Id.
10 David C. Lowy and Richard P. Wells, Corporate Environmental Governance: Benchmarks Toward
World-Class Systems. The Conference Board, Inc., Townley Global Management Center (2000); David
Champion, Environmental Management. Harvard Business Review (1998).
11 The Washington Post, Editorial, Seeking Chemical Safety. September 14th, 2002 at page A20; Carol D.
Leonnig and Spencer S. Hue, Fearing Attack. Blue Plains Ceases Toxic Chemical Use. The Washington
Post, November 10, 2001 at p. A01.
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As evidenced by the above trends and other indicators, there exists today enormous
opportunities to build upon the natural synergies between environmental justice and
pollution prevention in areas such as community revitalization and sustainable
development. Some of the most promising appear around Brownfields restoration and
redevelopment; around "smart growth" and more integrated transportation and land use
planning; alternative fuels, and around environmental management systems which are
increasingly being adopted by leading businesses.
Energy efficiency and clean production
technologies also present real opportunities to
address some of the challenges we face. These
suggest rich prospects for creative and effective
projects that can protect workers and the
environment and contribute to job creation and
retention in the United States. Rather than
creating job loss or limiting economic growth,
these projects strongly indicate that reducing
pollution through measures that protect the
environment provides economic benefits and
has great potential for new job development.
However, if such projects are to substantively
promote environmental justice they need to
build constructive partnerships, involve
multiple stakeholders, promote local
participation, protect communities and workers
and provide targeted and measurable results.
PURPOSE OF THE REPORT
... it has been suggested that the
redevelopment of brownfields could serve
as a check or constraint on urban sprawl by
reducing developmental pressures on I
greenfields. This is an area of growing
concern. According to the American
Farmlands Trust, between 1982 to 1992,
13,823,000 acres of land were converted to
urban use. Of this total, 4,266,000 acres
were either prime or unique farmland.
From the report. Public Policies and Private
Decisions Affecting the Redevelopment of
Brownfields: An Analysis of Critical Factors,
Relative Weights and Areal Differentials (George
Washington University, September 2001)
The National Environmental Justice Advisory Council ("NEJAC") is the formal federal
advisory committee on environmental justice. Its charter states that the NEJAC is to
provide advice and recommendations on matters related to environmental justice to the
EPA Administrator. The EPA Office of Environmental Justice requested that NEJAC
examine how the innovative use of pollution prevention can help alleviate pollution
problems in environmental justice communities. In response to the request from the EPA
Office of Environmental Justice, the NEJAC plans to conduct an issue-oriented public
meeting in Baltimore, Maryland on December 9-12,2002 to receive comments on,
discuss and analyze innovative approaches to use pollution prevention concepts to
advance environmental justice. In order to provide advice and recommendations to the
Administrator in respect to ways that pollution prevention can advance environmental
justice, the NEJAC has prepared a comprehensive report that reflects the diverse views,
interests, concerns and perspectives of identified stakeholders on the focused policy
issue. For purposes of the NEJAC Report, pollution prevention, as developed from
interviews of the stakeholders, is defined as a mechanism focused on reduction,
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elimination or prevention that helps to protect the environment and improve quality of
life in environmental justice and tribal communities. The question presented for analysis
in this report is:
How can EPA promote innovation in the field of pollution prevention,
waste minimization, and related areas to more effectively ensure a
clean environment and quality of life for all peoples, including low-
income, minority and tribal communities?
A robust consideration of the answers suggested as a result of this inquiry should advance
the interests of pollution reduction and improved environmental quality shared by the
public, all stakeholders, the EPA and the NEJAC.
This draft report consists of two parts. The first part is a consensus report that provides
context, background, premises, conclusions and series of agreed upon proposals by all the
stakeholders. The second part consists of four stakeholder perspectives, i.e.,
communities, tribes, business and industry, and government. Eventually, a third part may
be added. This part will contain specific case studies applying pollution prevention
methodologies to environmental justice communities.
BACKGROUND ON POLLUTION PREVENTION
Reducing pollution and improving environmental quality was initially accomplished
though a variety of federal environmental statutes that protected public health and the
environment by controlling pollution after its creation "at the end of the pipe". The focus
of these statutes was not controlling the amount of pollution that was created but limiting
how much was discharged into the environment. These statutes were implemented with
varying degrees of effectiveness. However, industrial growth could not be sustained with
the ever-increasing number of regulations limiting the amount of emissions to the
environment even with the most advanced technology. Ultimately it became obvious that
the regulatory control activities needed to be expanded to include innovative activities
that address pollution prior to its release into the environment. This realization led to the
formation and adoption of the Pollution Prevention Act in 1990. The Pollution Prevention
Act directed that pollution should be prevented or reduced at the source whenever
feasible. Instead of reiterating the "end of pipe" treatment of environmental pollutants,
"pollution prevention" moved upstream to prevent the pollutants from being generated in
the first place.
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SOX
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Definition
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Pollution prevention ("P2") is the reduction or elimination of wastes and pollutants at the
source. By reducing the use and production of hazardous substances, and by operating
more efficiently, we protect human health, strengthen our economic well-being, and
preserve the environment. Conventional pollution prevention encompasses a wide
variety of activities including:
• More efficient use of materials, water, energy and other resources
• Substituting less harmful substances for hazardous ones
• Reducing or eliminating toxic substances from the production process
• Developing new uses for existing chemicals and processing wastes
• Recycling and reuse
• Conserving natural resources
Reducing pollution at its source, or source reduction, allows for the greatest and quickest
improvements in environmental protection by avoiding the generation of waste and
harmful emissions. Source reduction helps to make the regulatory system more efficient
by reducing the need for end-of-pipe [after generation] environmental control by
government. EPA defines pollution prevention to mean source reduction, as defined
under the Pollution Prevention Act, and other practices that reduce or eliminate the
creation of pollutants through increased efficiency in the use of raw materials, energy,
water, or other resources, or protection of natural resources by conservation. The term
source reduction includes: equipment or technology modifications, process or procedure
modifications, reformulation or redesign or products, substitution of raw materials, and
improvements in housekeeping, maintenance, training, or inventory control. Therefore,
pollution prevention as a strategy is more comprehensive and provides greater benefits
than purely toxic reduction.
The process of pollution prevention involves identification, resolution, and action. First,
government, business, consumers — society, in general — must identify the root causes
and sources of waste and pollutants, and results should be measured. After identifying
the sources, a decision must be made as to how best to minimize the generation of these
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wastes and pollutants. Assessing the efficiency, appropriateness, and feasibility of the
methods to be applied can do this. Finally, action must be taken, to implement the plan
that best reduces the production of wastes and pollutants. Throughout this three-step
process, the government can act definitively and reliably as an enabling partner in
fostering pollution prevention.
Additionally, pollution prevention involves multi-media approaches that work to solve
environmental problems holistically and that do not only focus on pollution in a single
medium such as air, land, or water. Rules, regulations and solutions that are not multi-
media may make existing problems worse. Sometimes this can result in the shifting of
pollution from one medium to another. For example, in some cases, by requiring
hazardous air emission controls for industrial facilities, other problems might result, such
as pollutants being transferred to underground drinking water through the residual sludge.
Pollution prevention activities ensure the minimization and elimination of wastes, and not
the shifting of these wastes from one media to another.
Opportunities
Pollution prevention's effectiveness lies in the fact that it is a holistic, multi-media
approach, with practical tools, such as Environmental Management Systems (EMS),
environmentally preferable purchasing, multi-media inspections, and materials
accounting practices that can be tailored to any industrial or community sector. The
wide-ranging pollution prevention tool kit has the potential to tackle the daunting
environmental challenges such as energy and water shortages, global climate change and
chemical safety issues. Pollution Prevention is the only mechanism to provide concrete
steps and identify quantifiable targets for better implementation of sustainable
development.12
The proactive use of pollution prevention can decrease the strains on natural resources in
environmental justice communities. Additionally, pollution prevention can help improve
public health since disease often impacts most heavily on people with weak or
compromised immune systems. Immune system damage often results from polluted
water and pesticide use on chemical-intensive agricultural lands as well as consumption
of crops grown on these lands. Proactive steps to use better technologies and less-toxic
chemicals can likely improve local environmental quality, inequality, and poverty.
Pollution prevention could even provide opportunities for job creation, capacity building
and local empowerment in environmental justice communities.
12 Blueprint for Pollution Prevention and Sustainable Development, National Pollution Prevention
Roundtable, August, 2002.
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BACKGROUND ON ENVIRONMENTAL JUSTICE
EPA defines environmental justice to mean the fair treatment of people of all races,
cultures and incomes with respect to the development, implementation and enforcement
of environmental laws and policies and their meaningful involvement in the decision-
1
making processes of the government. Communities of color and low-income
communities have a long history of involvement in environmental quality issues.14 Since
the 1980's community organizations have been forming at the grass roots level to work
more intensively on environmental pollution issues.15 Recent concerns about
environmental justice can be traced to public and private regional and national studies
highlighting observational and statistical data indicating that low-income communities
and communities of color are more likely than the general population to be exposed to
pollution and to suffer from associated health effects due to exposure.16
In 1990 the University of Michigan held a conference on Race and the Incidence of
Environmental Hazards.17 Participants at that conference wrote to the Administrator of
the Environmental Protection Agency seeking a meeting and action on a variety of issues
relating to environmental risk in low-income communities and communities of color.18
Former EPA Administrator William Reilly responded to that letter by forming the
Environmental Equity Workgroup to examine issues of disproportionate risk in low-
income communities and communities of color and to review agency programs and
procedures in order to assure that EPA was fulfilling its mission with respect to those
communities.19 In response to public concerns, in 1992 the EPA also created an Office of
Environmental Equity to facilitate the integration of environmental justice into EPA
programs, policies and activities.
In 1993, Former EPA Administrator Carol Browner made environmental justice a priority
stating "EPA is committed to addressing these concerns and assuming a leadership role in
environmental justice to enhance environmental quality for all residents of the United
States." In 1994, President William Clinton issued Executive Order 12898 to establish
13 Christine Todd Whitman, Environmental Protection Agency, EPA's Commitment to Environmental
Justice, Memorandum, August 9, 2001.
14 See Lawrence v. Hancock, 76 F. Supp. 1004, 1008 (S.D. W. Va. 1948); Simians v. City of Greenboro,
149 F. Supp. 562 (M.D. N. C. 1957); Bohler v. Lane, 204 F. Supp. 168 (S.D. Fla. 1962); Beal v. Lindsay,
468 F. 2nd. 287 (2nd Cir. 1972).
15 Bean v. Southwestern Management Corporation, 482 F. Supp 673 (1979; New York City Coalition to
End Lead Poisoning v. Koch, 138 Misc. 2d 188 (1987); East-Bibb Twiggs Neighborhood Association et al.
v. Macon-Bibb Planning and Zoning Commission et al., 662 F2d 1465 (1987); El Pueblo Para el Aire y
Agua Limpio v. County of Kings, 22 ELR 20357 (1991).
16 United Church of Christ, Commission for Racial Justice, Toxic Waste and Race in the United States: A
National Report on the Racial and Socio-Economic Characteristics of Communities with Hazardous Waste
Sites (1987).
17 U.S. Environmental Protection Agency, Environmental Equity: Reducing Risks for all Communities,
Volume 1 (1992).
18 Id.
19 Id.
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environmental justice as a national priority and to focus the attention of federal agencies
on environmental and health conditions in low-income communities and communities of
color with a view towards achieving environmental protection for all communities.
As previously stated, Administrator Christine Todd Whitman confirmed EPA's
commitment to environmental justice, saying "[environmental justice is the goal to be
achieved for all communities and persons across this nation" and that it will be achieved
when everyone enjoys the same degree of protection from environmental and health
hazards and has a "healthy environment where they live, learn and work." According to
Administrator Whitman, achieving environmental justice is an objective imbedded in the
federal environmental statutes. "Environmental statutes provide many opportunities to
address environmental risks and hazards in minority and/or low income communities.
Application of these existing statutory provisions is an important part of this Agency's
effort to prevent those communities from being subject to disproportionately high and
adverse impacts, and environmental effects."21 Because it proactively seeks to integrate
environmental justice in the Agency's mission as part of the application of existing
statutory authorities, Administrator Whitman's 2001 memo represents a significant
advance to the commitment to environmental justice made by previous administrations.
The leadership displayed by the EPA has been important to and supportive of the grass
roots environmental justice movement that has always made the 'concept' of pollution
prevention a guiding principle. The thread throughout the Principles of Environmental
Justice, drafted at the First National People of Color Environmental Leadership Summit
in 1991, is a call for pollution prevention.22 The third principle calls for "ethical,
balanced and responsible uses of land and renewable resources in the interest of a
sustainable planet for humans and other living things"23 Principle 6 demands the
"cessation of the production of all toxins, hazardous wastes, and radioactive materials
» 24
POLLUTION PREVENTION AND ENVIRONMENTAL JUSTICE
Pollution prevention, as a concept, was identified at the First People of Color
Environmental Leadership Summit as a policy necessary for achieving environmental
justice because of the clear need to reduce pollution impacts and the broad range of
damaging effects believed to result from pollution exposures. Even though communities
may sometimes view pollution prevention, as defined by government, with skepticism,
20 Christine Todd Whitman, Environmental Protection Agency, EPA's Commitment to Environmental
Justice, Memorandum, August 9, 2001.
Id'
22 Center for Public Environmental Oversight, The First People of Color Environmental Leadership
Summit, Principle of Environmental Justice (adopted: October 27,1991) available at
http://www.cpeo.org/pubs/eiDrinc.html
23 Id.
24 Id.
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pollution prevention can have positive impacts on environmental justice communities by
reducing pollution exposures and thereby improving quality of life.
The development and implementation of a multi-stakeholder collaborative model,
increasing community and tribal capacity to participate in pollution prevention
partnerships, and implementing opportunities to advance environmental justice through
pollution prevention in federal environmental statutes are some of the major proposals
that have received endorsement from all the stakeholder groups as ways to effectively
achieve these goals. Areas such as multi-media, multi-hazard reduction, waste
minimization and product / process substitution have already demonstrated reductions in
hazardous chemicals and solvents, achieved water and energy savings, and reduced
carbon dioxide emissions. There are promising efforts in the area of transportation,
alternative fuels, and small businesses in environmental justice communities.
The goals of pollution prevention, source reduction and protection of natural resources,
have the potential to offer a variety of benefits to low-income, minority and tribal
communities and would seem to be a natural coupling with environmental justice.
Pollution prevention can reduce pollution for not only permitted and fugitive emissions
but also accidental releases or spills and their attendant adverse health impacts. In
addition to addressing these exposure routes, pollution prevention activities can go
beyond existing environmental statutes and regulations.
The environmental justice movement is not only committed to the goals and values of
pollution prevention, it actively seeks eliminated or reduced pollution, eliminated or
reduced adverse health effects and improved environmental quality for low-income,
minority and tribal communities—results that pollution prevention could produce. The
concept of using pollution prevention as an environmental justice tool would seem to
make perfect sense, but, for a number of reasons, community organizations have not, as a
rule, added it to their environmental justice toolbox. Issues such as lack of capacity, lack
of trust and failure to develop or include communities in collaborative models or
partnerships have presented barriers to wider acceptance of the utility of pollution
prevention for low-income communities and communities of color. Environmental
justice requires that communities have more than an indirect influence on industry's
production process when pollution prevention activities can lead to reduced pollution
exposures, holistic community development and economic sustainability. This influence
will benefit environmental justice communities for years to come.
For communities to have a direct influence on preventing, minimizing or eliminating
pollution, capacity building in communities must be a priority of government and other
stakeholders. This means communities need a basic understanding of pollution
prevention processes and technologies, by industry or substantive areas, and of the steps
needed to develop a collaborative model in which other stakeholders work with
communities to implement process or technology changes.
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Pollution Issues in Environmental Justice and Tribal Communities
Communities of color, low-income and tribal communities suffer from numerous adverse
pollution impacts including adverse health effects and adverse environmental, societal,
economic, and international impacts that could be reduced or eliminated through
pollution prevention measures. Pollution prevention measures can reduce poor air quality
that is believed to contribute to illness and premature death in communities. Outdoor air
pollution is responsible for increased morbidity and mortality locally and throughout the
world.25 Research supports the community's view that asthma and other respiratory
diseases, cancer, birth defects, liver and kidney damage and premature death, are all
attributable, at least in part, to air pollution exposures.
Pollution prevention can reduce the risk of cancer and non-cancer health effects in the
occupational context for workers who are typically the first to be subjected to
environmental exposures. However, pollution prevention activities should not shift the
burden to other media or exposed groups. For example, water based paints reduce VOCs
released to the environment, but the strong non-oxidizing biocides required for bacterial
control pose a greater risk to the worker. Pollution prevention can also reduce the
negative effects of pollution on the environment for plants, animals, and marine life.
25 Daniel M. Steigman, Is it "urban" or "asthma?". The Lancet, July 1996, at 143-144 (documenting much
higher asthma hospital admission rates in poor and minority communities than in other areas of Boston); R.
Charon Gwynn and George D. Thurston, The Burden of Air Pollution: Impacts among Racial Minorities-
Environmental Health Perspectives. Volume 109, Supplement 4, August 2001 (exploring disparities in
hospital admissions and mortality by race in New York City); Susan M. Bernard, Johnathan M. Samet,
Anne Grambsch, Kristie L. Ebi, and Isabelle Romieu, The Potential Impacts of Climate Variability and
Change on Air Pollution-Related Health Effects in the United States. Environmental Health Perspectives,
Volume 109, Supplement 2, May 2001 (stating that air pollution can cause, respiratory diseases,
cardiovascular diseases, alter host defenses, damage lung tissue, lead to premature death and contribute to
cancer); Tom Bellander, Public Health and Air Pollution. The Lancet, January 2001, at 69-70 (estimating
the increase of mortality as a result of long term studies of air pollution in Austria, France and
Switzerland). Kunzli, N; Kaiser, R; Medina, S; Studnika, M; Chanel,O; Filliger, P; Herry, M; Horak, Jr. F;
Puybonnieux-Texier,V; Quenel, P; Schneieder, J; Seethaler, R; Vergnaud, J-C; Sommer, H., Public Health
Impact of Outdoor and Traffic Related Air Pollution: A European Assessment The Lancet, September
2000, at 795-801 (finding that air pollution caused 6% more total mortality, 25,000 new cases of chronic
bronchitis in adults, 290,000 additional cases of bronchitis in children, 500,000 more asthma attacks and 16
million person days of restricted activities); Jun Kagawa, Atmospheric Air Pollution Due to Mobile
Sources and Effects on Human Health in Japan. Environmental Health Perspectives 102, Supplement 4,
October 1994 (finding that unfavorable human health effects result from automobile caused air pollution in
large cities and along transportation routes); Tony Sheldon, Reducing Greenhouse Gases Will Have Good
Short Tern Effect. British Medical Journal, Volume 321, page 1367, December 2002 (finding that
bronchitis in children fell ten percent in relation to reduced concentrations of particulate matter).
26 Tracey J. Woodruff, Daniel Axelrad, Jane Caldwell, Rachel Morello-Frosch, and Arlene Rosenbaum,
Public Health Implications of 1990 Air Toxics Concentrations across the United States. Environmental
Health Perspectives, Volume 106, May 1998; Rachel A. Morello-Frosch, Tracey J. Woodruff, Daniel A.
Axelrad, Jane C. Caldwell, Air Toxics and Health Risks in California: The Public Health Implications of
Outdoor Concentrations. Risk Analysis, Volume 20 Issue 2, February 2000 (predicting 8600 excess cancer
cases and for non-cancer health effects a median total hazard index of 17).
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Persistent and bioaccumulative pollutants degrade slowly and bio-accumulate in the
environment, often becoming part of the food chain ultimately consumed by people.27
Pollution prevention would be a proactive way to address the adverse economic impacts
of pollution that exacerbate poverty and reduce earning ability.28 Societal and
developmental impacts that communities believe are pollution related can be reduced
through pollution prevention. Developmental damage and delay is more likely to occur
when children are exposed to multiple and cumulative risks in their environment.
Disparities in socioeconomic status and health status are exacerbated by environmental
exposures.30 There is emerging evidence that there are economic impacts associated with
reduced intelligence from pollution exposures. Environmental degradation also
jeopardizes property values in impacted communities.31 Economic value in low-income
communities and communities of color could be preserved through pollution prevention
measures.
Environmental health impacts on tribal lands are similar to health impacts for other low-
income communities and communities of color. There are wide ranges of pollution
generating activities that take place on tribal lands and each activity creates different
adverse environmental impacts. These activities include mineral extraction, agriculture,
forestry, waste disposal (including nuclear waste), storage and processing activities, dam
and hydro-power operations, building and construction, oil and gas exploration, and
industrial plants.32 Federal and tribal governmental facilities and infrastructure, and
Department of Defense facilities also negatively impact the environment. Native
American Nations and tribal communities suffer from adverse effects of pesticides,
•j "j
hazardous waste and other hazardous substances. These exposures result in a variety of
27 Ann McGinn, POP Goes the Weasel. Hazardous Waste News, Vol. 22, January 2000; Lisa Mastny,
Coming to Terms with the Artie. Worldwatch Institute, Worldwatch, Volume 13, p. 24, January 2000.
28 Radim J. S(breve)ram, Ivan Benes, Blanka Binkova, Jan Dejmek, Donald Horstman, Frantisek
Kotesovec, Davit Otto, Sally D. Perreault, Jiri Rube, Sherry Selevan, Ivan Skalik, Robert K. Stevens and
Joellen Lewtas, Teplice Program—The Impact of Air Pollution on Human Health. Environmental Health
Perspectives, Volume 104, Supplement 4, August 1996; Frederica P. Perera, Wieslaw Jedrychoski, Virginia
Rauh, and Robin Whyatt, Molecular Epidemiologic Research on the Effects of Environmental Pollutants on
the Fetus. Environmental Health Perspectives, Volume 107, Supplement 3, June 1999.
29 Ted Schettler, Toxic Threats to Neurological Development of Children. Environmental Health
Perspectives, Volume 109, Supplement 6, December 2001.
30 Nancy E. Alder, and Katherine Newman, Socioeconomic Disparities in Health: Pathways and Policies:
Inequality in Education. Income and Occupation Exacerbates the Gaps Between the "Haves" and the
"Have-nots". Health Affairs, April 2002.
31 Paul S. Kibel, FAB Quarterly Viewpoint, Full Cleanup Preserves Full Value.
www.fablae.com/cleanup.htm: Mundy Associates, LLC, Contaminated Property: Issues and Answers. June
2002, www.mundvassoc.comycontaminated.htm.
32 U.S. Environmental Protection Agency, National Tribal Council and Tulalip Tribes, Pollution Prevention
and Native American Communities: A Tool for Tribal Environmental Protection and Impact Assessment, at
p. 10.
33 Lorraine Halinka Malcoe, Robert A. Lynch, Michelle Cozier Kegler and Valrie A. Skaggs. Lead Sources.
Behaviors and Socioeconomic Factors in Relation to Blood Lead of Native American and White Children.
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adverse health effects including asthma, diabetes, hypertension, thyroid disorders, cancer,
reproduction disorders, and leukemia. Pollution has also impacted upon their ability to
engage in traditional cultural practices.
All activities that traditionally impact upon tribal resources are candidates for pollution
prevention and should be revisited from the pollution prevention perspective because
these measures can produce positive benefits for tribes.34 As sovereign governments,
tribes can play a vital role in pollution prevention and help eliminate the risks associated
with the release of pollution into the environment and the impacts of shifting pollution
from one medium to another while protecting natural resources for future tribal
generations.
Specific environmental impacts and worker exposure concerns due to a wide range of
activities including chemical manufacturing, agriculture, military activities, mining and
mineral extraction, dry cleaning, printing, refining and transportation are covered in
greater detail in the individual stakeholder chapters located in part II of this report and
addressed within the consensus proposals.
A recent example of a collaborative partnership that demonstrated the need for
community capacity-building can be found in the Common Sense Initiative ("CSI"),
Printing Sector, New York City Education Project.35 This project challenged
communities to identify community-based printers, to engage the printers about pollution
prevention and to encourage them to undertake pollution prevention measures with
technical assistance funded by EPA. When CSI community representatives indicated that
EPA was looking at printers, community members asked what printers had done and why
printers were being singled out. In order to educate the community groups that
participated, a project specific Printing Sector Community Education Manual was
developed that described the nature of the printing business including its size, the
hazardous substances used in the printing industry, the health effects of the chemicals and
products used in printing, alternatives processes and products available and the societal
and economic benefits of using more sustainable processes and products. Once prepared
with an adequate background on the need for their local printers to undertake pollution
prevention measures, community organizations identified more than 120 printers located
in impacted communities, including some operating outside of the regulatory framework,
that were interested in receiving technical assistance for pollution prevention. The
community groups provided these printers with Design for the Environment and other
Environmental Health Perspectives Supplements, Volume 110, Number 2, April 2002; Somini Sengupta, A
Sick Tribe and a Dump as a Neighbor. The New York Times, April 7, 2001.
34 U.S. Environmental Protection Agency, National Tribal Council and Tulalip Tribes, Pollution Prevention
and Native American Communities: A Tool for Tribal Environmental Protection and Impact Assessment,
supra at p. 10.
35 U.S. Environmental Protection Agency, Environmental Compliance and Pollution Prevention, Technical
Assistance Directory for Printers, New York City. P. 3 (referencing the New York City Education Project)
(1998).
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pollution prevention materials for printers that demonstrated opportunities to prevent,
minimize or eliminate pollution impacts. After receiving training in pollution prevention
opportunities for printers, community groups, as their customers, were successful in
encouraging local printers, to be good neighbors and engage in pollution prevention
measures that would benefit their employees, their bottom line and the entire
neighborhood.
Pollution prevention is, at heart, a highly ethical concept that is wholly consistent with
notions of environmental justice. That is why reduction of the use of non-renewable
resources was identified at the First People of Color Environmental Leadership Summit
as the 17th Principal of Environmental Justice—"using as little as possible of Mother
Earth's resources" as a guiding principle. This principle is about sustainable
development and fairness to subsequent generations. International efforts to promote
sustainable development have resolved that issue and adopted the concept of
"intergenerational equity" as a way to consider human impacts on the environment
through the prism of time and fairness. Intergenerational equity is said to have three
components: conservation of options for future generations —the diversity of the resource
base should be conserved so as to allow future generations to have the freedom to make
their own choices, conservation of quality -the environment should be passed on to the
next generation in the same condition as when the present generation received it and
conservation of access — all members of the present generation should have equitable
access to natural resources.36 Intergenerational equity requires that we conserve existing
natural resources so that coming generations have the resources needed to sustain healthy
and productive lives. The focus of pollution prevention on source reduction is consistent
with moral obligations in favor of subsequent generations of people and other living
things.
Using pollution prevention approaches to advance environmental justice is also
supportive of and synergistic with EPA's philosophy of pollution prevention. Issues such
as climate change, that have far reaching national and international ramifications for
present and future generations, and reduction of smog, and energy efficiency
improvements are already part of EPA's programs and policies. Similarly loss of
biodiversity through habitat loss and alteration and associated impacts on future
generations are a concern of EPA's Brownfields Revitalization Program, a program that
strives to assure that greenfields are protected and urban land is redeveloped in
sustainable ways.
Pollution prevention can help us meet environmental challenges faced by the human
family. In the words of Administrator Whitman, "[bjecause we have been entrusted with
the stewardship of this shared planet, we must all work together. By drawing on the
36 Duncan French, Sustainable Development and the 1991 Madrid Protocol to the 1959 Antarctic Treaty:
The Primacy of Protection in a Particularly Sensitive Environment, Journal of International Wildlife Law &
Policy, Section No. 3, Vol. 2; Pg. 291,September 22,1999.
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strengths of others—and by willingly sharing our own—we can fulfill our sacred
obligation to future generations to leave them a cleaner planet than we found."
Toward a Multi-Stakeholder Collaborative Model to Advance Environmental
Justice Through Pollution Prevention
No effective pollution prevention model exists for collaborative partnerships of all
impacted stakeholders. Experience has shown that multi-stakeholder pollution
prevention efforts have thus far involved multiple stakeholders only to a limited extent.
Stakeholders may be engaged to participate in pollution prevention initiatives as well as
engaged in implementing community based pollution prevention strategies.
The environmental issues within the community or area should be researched and
information compiled. A strategy should be developed with the involvement of all
stakeholders, which will first prioritize the environmental issues based on risk and second
develop a multi-stakeholder approach to addressing the prioritized environmental issues.
Elements of an effective collaborative model for multi-stakeholder pollution prevention
initiatives have emerged from successful projects. A good collaborative model is based
upon several premises. One premise is that efforts to prevent pollution and otherwise
improve environmental quality and quality of life in disproportionately burdened areas
should be community-based. This means that a stakeholder in the affected community
must initiate the project. All affected local stakeholders are considered indispensable to
an effective model and should be involved. Community and tribal involvement is just as
important as the involvement of government and business or industry.
It may be appropriate to involve several different federal, state or local government
agencies and offices within agencies, in which case such assistance should be centrally
coordinated by an office that is authorized to holistically assess and address the various
needs of the community in question, assisted by other offices within government agencies
as needed.
Ongoing, community-based review, monitoring, and remediation of environmental
problems should continue after the coordinating agency, department or office and its
delegates withdraw from the project. Successful projects should receive recognition and
publicity. Additional support for continued review and monitoring on the local level
should be provided to impacted communities.
CRITICAL BARRIERS TO ADVANCING ENVIRONMENTAL JUSTICE
THROUGH POLLUTION PREVENTION
There are critical barriers to advancing environmental justice through pollution
prevention. Four major stakeholder groups involved in this dialogue, i.e., communities,
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tribes, business and industry, and government identified the following impediments. Ten
have been identified.
Lack of Sufficient Linkage Between Pollution Prevention to Sustainable
Development: Pollution prevention initiatives have not effectively capitalized on trends
for more sustainable development and the synergies that those trends suggest. Areas such
as construction and development, transportation, brownfields redevelopment, sustainable
energy, patterns of production and consumption and investment have not been the focus
of pollution prevention. Pollution prevention needs to be incorporated into the design
phase of processes and products. One example is Ford Motor Company and Chicago
where interested groups are working towards building an industrial park, which supports
the manufacture of Ford's vehicles. The program involves locating suppliers, as well as
support services within close proximity to the auto manufacturing plant. The project is
addressing issues such as utility optimization as well as site management needs.3
Lack of Utilizing Opportunities: Pollution prevention is complex and it is a challenge
to come up with equitable solutions to address it. There has been no systematic focused
look at the opportunities available that will best meet the needs of impacted communities.
There has also been no attempt to identify or prioritize the geographic areas where the
most benefit or reduction is possible or the programmatic areas important for the most
reduction.
Lack of Sufficient Collaboration: Pollution prevention needs the participation of
people, organizations, institutions, businesses, governments and international groups and
entities. Pollution does not respect political boundaries. In order to make pollution
prevention a greater part of our environmental protection strategies, effective
collaborations are needed. Getting people to work together is possible but is not easy.
No model exits for collaborative partnerships for pollution prevention.
Pollution prevention efforts need to draw on the resources of all affected stakeholders in
order to be more fully integrated into societal and community-based decision-making
processes. However other stakeholders have generally not considered communities to be
indispensable partners in pollution prevention initiatives. The resources of communities
will continue to be unavailable to improve and advance pollution prevention projects
until all stakeholders realize the utility of involving impacted communities in pollution
prevention efforts at the earliest stages.
Lack of Sufficient Community Capacity: Effective collaborations that include
communities are impeded by the lack of resources to educate communities in technology
options for pollution prevention. Communities need support to participate in
collaborative projects and they need useful educational materials that will enable them to
participate on a level playing field. Most literature about pollution prevention never
37 Ford Motor Company and the City of Chicago, Chicago Ford Industrial Park Initiative. February, 2002.
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mentions a role for communities and often is written in technical terms making it less
accessible to the layman or those without technical training. In order for community
support of pollution prevention to be more than support of the concept, communities must
be familiar with the mechanisms that are available that reduce pollution, the businesses
and industries where pollution prevention can be most effective and technological
progress in pollution prevention. Without concerted efforts at community capacity-
building, that include literature, training and other support, the role of communities in
collaborations will be undervalued
Access to information about pollution is important for communities to understand areas
where it is needed. Efforts must be undertaken to assure that communities can get the
information they need about pollution emissions and discharges. Information about
pollution prevention mechanisms accessible to the layman should be available in a
centralized location such as a website in order for environmental justice advocates to
become more engaged about pollution prevention as tool for reducing pollution.
Resources provided should be adequate and multifaceted to include community outreach
and partnerships with government. Limitations in funding mechanisms, communication
and language barriers should also be addressed for communities to participate in pollution
prevention projects. Good neighbor agreements are needed to memorialize commitments
made with communities.
Lack of Sufficient Attention to Small Business Concerns: Small businesses need a
sustained program of direct financial and technical assistance in order to incorporate
pollution prevention into their business policy. The 307,000 U.S. small and medium
sized manufacturers (SMMs) produce more than half of the nation's manufacturing
output and account for more than two-thirds of employment in the manufacturing sector.
These businesses have specific challenges with regard to pollution prevention. The
central issue should be how to induce them to invest in pollution prevention approaches
that ultimately result in higher levels of quality and environmental performance and, in
turn, lead to greater productivity and profit gain.
Lack of Sufficient Focus on Pollution Prevention Efforts: One impediment to
pollution prevention is the assumption that pollution prevention measures should be
directed at industry and large facilities. There is a huge potential for pollution prevention
in small inner city businesses, as well. The sheer numbers of these businesses, their
variety and their location in impacted communities makes them an ideal target for
partnerships with the community.
Lack of Sufficient Intergovernmental Coordination: Pollution prevention initiatives
are implemented at various levels of government without sufficient coordination.
Pollution prevention initiatives should be coordinated at the different governmental
levels. Efforts should be made to reduce duplication, address funding and technical
assistance across media and encourage replication of successful projects.
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Lack of Sufficient Ability to Provide Incentives: Resources to create more and better
incentives for pollution prevention measures and products that reduce pollution should be
developed with the support of government. Similarly there should be disincentives for
non-sustainable products, processes and technologies.
Lack of Sufficient Capacity Building / Technology Transfer to Industry: Several
EPA programs can aid industry in addressing hazard assessment, fugitive emissions, and
other pollution prevention measures. Multi-stakeholder model should also include tools
for business, especially small businesses in environmental justice communities.
POLLUTION PREVENTION AND ENVIRONMENTAL JUSTICE
FRAMEWORK
The NEJAC includes representatives from all stakeholder groups, reflects the views of
key stakeholders and was convened to assure that diverse perspectives of those with an
interest in environmental justice and pollution prevention would be heard and addressed.
The workgroup members articulated their expectations from the process, identified areas
of common ground and agreed to a framework for examining pollution prevention and
environmental justice. The framework for examining the relationship between pollution
prevention and environmental justice includes the following premises:
1. Pollution prevention activities should have a strong nexus with health,
environmental and quality of life concerns of impacted communities and risk
reduction and would benefit from process analysis for assessing which are the
most important sources to focus attention on. For impacted communities, an
extremely important value of pollution prevention is reducing health risks and
improving quality of life. However some pollution impacts may be more easily
addressed and others have the potential to achieve greater benefits by reducing
toxicity or impacts to susceptible populations. In order to prioritize pollution
prevention initiatives to provide the greatest benefit to environmental justice
communities, those initiatives must address the most important sources to reduce
risk, improve health, environmental quality and quality of life.
2. Pollution prevention activities should recognize and respect the importance and
value of community knowledge and experience and include the full participation
of the impacted community. Communities possess information respecting
community vulnerabilities; demographics and operational variation in local
facilities and this information can improve prioritization in pollution prevention
projects. Communities support the idea of pollution prevention but often lack
specific information respecting the facilities susceptible to pollution prevention,
the measures, strategies and technologies available to prevent or eliminate
pollution and the substantive areas where pollution prevention can be useful. This
means that efforts must be undertaken to build capacity within the community to
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enable the community to participate as full partners in efforts to prevent,
minimize or eliminate pollution.
3. Pollution prevention activities should focus on all sources, including large and
small facilities, public and private facilities, new and old facilities, and area and
mobile sources. Pollution prevention initiatives that will advance environmental
justice must include a wide range of sources and activities. Focusing stationary
sources alone is inadequate to address the range of sources adversely impacting
upon low-income communities and communities of color. At least fifty percent
of the impacts of air pollution result from mobile sources. Pollution prevention
initiatives for small facilities that are numerous such as dry cleaners, printers or
auto body shops located in impacted communities may be just as important as
individual stationary sources.
4. Pollution prevention should involve collaborations between all stakeholder groups
and build capacity (through relevant tools, knowledge and education, and
resources, where needed), should include adequate resources at the state and
federal level and should promote new and emerging and existing technologies.
Pollution prevention initiatives that promote environmental justice must include
goal-oriented principled partnerships between all impacted stakeholders and
capacity-building support where needed to enable low-income communities,
communities of color and small businesses to participate on a level playing field,
and must advance innovation as well as existing technologies to reduce pollution.
5. Pollution prevention should strive to be proactive, positive, solution-oriented, and
holistic in approach (i.e., multi-media, in the context of sustainable and
community development) and involve restoration, redevelopment and building
sustainable economics through pollution prevention. Pollution prevention
approaches that advance environmental justice should not be fragmented or
demonstrate short-term vision. Traditional single media or media specific
measures set forth in federal statutes and state delegated programs have
limitations in that they often allow transfer of pollution from one media to
another, focus on controlling large sources, ignoring other unregulated sources
that may produce as much or more pollution and accept set amounts of pollution
without incentives for regulated entities to go beyond compliance. Rather,
successful approaches should consider long-term economic impacts on
communities, workers and the environment.
6. Pollution prevention should involve culture change in institutions and
management systems such as government, business, and schools and include
accountability for measuring, monitoring, reviewing, evaluation and rewarding
(where appropriate) performance. For pollution prevention to have a
transformative impact on low-income communities and communities of color, it
must permeate all levels of institutions including leadership in government,
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industry and educational and cultural institutions and reflect a change in how we
approach the relationship between society and the environment. Policy
pronouncements must lead to demonstrated and sustained commitments.
Commitments should be encouraged with incentives and must be documented by
measurable improvements. Successes should be noted and replicated.
7. Pollution prevention should apply relevant lessons from global experience.
Successful international examples, especially in developing countries, of waste
minimization, energy conservation and toxic use reduction can be incorporated
into existing pollution prevention programs and policies. Similarly, there are
examples in developing nations of more sustainable production practices that can
be applied to situations in the United States.
8. Pollution prevention should promote the use of new and emerging technologies
(i.e., alternative fuels, renewable energy, etc.). Opportunities currently exist to
meet the needs of society using more sustainable technologies, products and
processes. These new approaches are available to reduce pollution in some of the
important areas for impacted communities including industrial production, land
use and development, infrastructure development, public and private
transportation and of the delivery of goods.
9. Pollution prevention should build on what exists. Federal environmental statutes,
state and local statutes, programs, policies and initiatives currently exist to reduce,
eliminate or prevent pollution. Tax subsidies, incentives, green purchasing
programs, technical support projects and successful pilots currently exist to
reduce pollution. Successful programs and initiatives should form the basis for
integrating pollution prevention more fully into institutions and societal
awareness.
10. Pollution prevention should address special economic, political, social, public
health, and environmental attributes of at risk and/or underserved subpopulations
(i.e., tribes, children, others, etc). A wealth of evidence indicates that not
everyone is affected the same way by pollution exposures. The developing
neonate, children, the elderly, people with compromised immune systems,
individuals suffering from nutritional deficiencies or other health deficits and
people with inadequate access to health care experience worse health outcomes at
similar levels of exposure. Pollution prevention should be aggressively used to
reduce pollution impacts on vulnerable populations. It offers an opportunity to
target measures that can have the most benefit to susceptible groups in low-income
communities and communities of color.
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Chapter 2: Consensus Proposals
The National Environmental Justice Advisory Council (NEJAC) is making the following
consensus proposals to the U.S. Environmental Protection Agency (EPA) on advancing
environmental justice through pollution prevention. In making these proposals, the
NEJAC urges that EPA implement these proposed recommendations with the full
participation of all appropriate stakeholder groups. These include impacted
communities, government at all levels —federal, state, tribal, and local, business and
industry, and others. Implementation of the proposals will improve the quality of the
environment for all people, in particular low-income, minority and tribal communities.
However, without the active engagement of these communities, sustaining the benefits of
these proposed recommendations will be virtually impossible. An involved community
has a vested interest in the process and this will enhance the chances for immediate and
long-term success. Business and industry also benefit through reduced environmental
impacts as these types of changes often lead to more efficient processes, save money, and
often create jobs. By truly involving other groups, government fulfill its promise as an
instrument of empowerment. Therefore, the active participation of all groups is to
everyone's benefit and to the successful implementation of these proposals.
1. Develop and Promote Implementation of a Multi-stakeholder Collaborative
Model to Advance Environmental Justice through Pollution Prevention that
Ensures a Meaningful Role in Design and Implementation for Impacted
Communities.
Background: Development of a multi-stakeholder collaborative model to advance
environmental justice through pollution prevention is the proposal that arguably has
received the strongest endorsement from all stakeholder groups. This proposal reflects
the desire of impacted communities, tribes, business and industry, and government for
support (programmatic, financial, technical) - of community-driven and community-
based processes in pollution prevention that clearly identifies issues of concern, sets
measurable objectives, yields real environmental benefits, and offers meaningful
opportunities for constructive engagement between the various stakeholders. A multi-
stakeholder model is envisioned as a tool for communities, industry and government and
should effectively gauge environmental impacts, implement pollution prevention
technologies and assess the results from both a monetary and environmental standpoint.
From 1995 thru 2001, EPA supported a competitive grants program for Environmental
Justice thru Pollution Prevention. The grants provided support for environmental justice
communities and tribes in trying innovative pollution prevention approaches to the
environmental problems that they faced. While EPA no longer funds this program, there
is precedent for EPA to provide funding for the types of activities encompassed in these
proposed recommendations. It is not essential for EPA to restore the earlier grants
program, but it is essential to assure adequate funding and a competitive funding
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mechanism for the multi-stakeholder process discussed here, as well as the related
proposals in this report.
In putting forth this proposed recommendation, the NEJAC is offering a set of guidelines
to EPA regarding how to implement and achieve such collaborative efforts to advance
environmental justice through pollution prevention. EPA should ensure the following:
• Secure adequate institutional, technical and financial resources.
• Provide assistance and facilitation to build the community's capacity to
meaningfully provide direction to such efforts.
• Facilitate the development of multi-stakeholder partnerships.
• Identify clear pollution prevention opportunities and methods to achieve pollution
prevention.
• Link pollution protection efforts to community based health concerns, lead testing
and abatement, brownfields redevelopment and revitalization, transportation and
air issues; local area multi-media hazards reduction, use of SEPs, promotion of
clean energy, and others.
• Assist in developing measurable goals and clear environmental outcomes.
• Provide, where appropriate, use of consensus building (facilitation, mediation)
and dispute resolution.
Action Items:
a. Develop a multi-stakeholder (communities, industry and government)
collaborative model in order to reduce pollution in environmental justice
communities. The content of this model is described in the consensus chapter.
Successful pollution prevention methods and approaches already developed by
EPA and other stakeholder groups should also be incorporated. A process should
be developed to monitor and incorporate new and other sustainable development
and pollution prevention initiatives. This model should be of use by all the
stakeholder groups for purposes that include:
1. Capacity building for communities
2. Innovative technology transfer to industry
3. Leveraging of government programs
b. Identify opportunities to integrate the use of the multi-stakeholder collaborative
model to advance environmental justice though pollution prevention.
c. A program such as Performance Tracks Award, which provides an opportunity for
community involvement to promote multi-stakeholder participation and pollution
prevention, should be implemented and incorporated in the multi-stakeholder
model. This award program should provide incentives not only to manufacturing
facilities and small businesses, but also to the communities in the surrounding
area.
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d. Initiate a new Environmental Justice/Pollution Prevention Grants Program
utilizing the multi-stakeholder collaborative model.
e. Build upon lessons learned from earlier related programs and approaches relating
to Environmental Justice and Pollution Prevention.
f. Build on successful programs, especially regional programs, and transfer those
successes in implementation of similar programs in other parts of the country.
For example, successful auto-refmishing programs were initiated in Oklahoma,
South Carolina, Rhode Island, Massachusetts and Maryland, but the programs
were developed in a vacuum and did not use other programs as resource. In
addition, EPA's Design for Environment program has worked extensively in auto-
refinishing and could have provided additional material. The utilization of
already developed materials should be used as criteria in the selection of grants.
2. Increase Community and Tribal Participation in Pollution Prevention
Partnerships by Promoting Capacity-building for Pollution Prevention in
Communities and Tribes.
Background: Improving incorporation of pollution prevention activities, tools and
policies into community and tribal advocacy strategies requires a concerted effort to build
tribal and community capacity to participate. Communities and tribes must be active
partners in pollution prevention planning activities in order to help identify priorities and
measure progress. To participate on a level playing field, communities and tribes must
have adequate and sustained funding from public and private sources to support their
efforts. Educ ational materials suitable for the layman must be developed and
comprehensive educational training initiatives should be undertaken. For example, EPA
supported pollution prevention capacity-building for the Common Sense Initiative,
Printing Sector, New York City Community Education Project that empowered
community groups to approach local printers with pollution prevention materials for
printers and information on process and product changes. The US EPA has a policy that
recognizes a government-to-government responsibility in the implementation of EPA
programs on reservations. Tribes, tribal colleges and Native organizations also must have
adequate and sustained funding from public and private sources to support these efforts.
Actions items:
a. Provide resources to facilitate community and tribal participation in pollution
prevention projects.
b. Utilize and widely disseminate pertinent educational materials already developed
and translated into other languages.
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c. Develop a Citizen Primer for Pollution Prevention technologies and strategies
accessible to the laymen. Utilize pertinent materials already developed.
d. Create a pollution prevention-training academy for communities including a
mobile academy that uses a cooperative approach between academic institutions
and public and private training institutions and resource centers, especially those
designed for the environmental justice communities.
\ /e. Create a pollution prevention-training academy for tribes, tribal colleges and
Native organizations.
f. Compile a collection of case studies with viable examples featuring community
and tribal representation in pollution prevention. Collaborations would be useful
as an example of successful pollution prevention partnerships. A clearinghouse
with the case studies could be placed on a Website. The multi-stakeholder
collaborative model, once developed, should be provided to local governments
and community organizations, which will detail the steps to an effective
community involvement process in pollution prevention projects.
g. Where appropriate, compliance penalties in environmental justice communities
should be directed to pollution prevention projects that benefit the health,
environment and quality of life of community members, rather than directing
these funds to state and local general funds, or to the U.S. Treasury. Community
members and facility employees should oversee these projects jointly in order to
assure that community needs are met and improved collaboration between the
penalized facility and its neighbors is facilitated.
3. Identify and Implement Opportunities to Advance Environmental Justice
through Pollution Prevention in Federal Environmental Statutes.
Background: The Environmental Law Institute (ELI), in 1993, did a report on
opportunities to advance pollution prevention in federal environmental statutes. That
report identified opportunities in the Clean Water Act and the Resource Conservation and
Recovery Act for incorporating pollution prevention tools into management of
environment resources. In 2001, ELI developed another report on opportunities to
advance environmental justice under federal environmental statutes. A more critical look
at specific opportunities to advance pollution prevention to address environmental justice
issues might be very useful and could lead to creating ways to best move forward
environmental justice, particularly in, but not limited to the permitting process.
Environmental quality review statutes also offer opportunities to incorporate pollution
prevention at the beginning stages of development projects. The Tribal Environmental
Policy Acts have attempted to explore this avenue. However there is no reason that new
actions governed by national and state environmental policy acts cannot also require
pollution prevention measures in new buildings and development projects as a condition
for approval consistent with the underlying goals of these acts to assure the
environmental managers and regulators behave as stewards for future generations.
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2 There are also opportunities for states to improve compliance using pollution prevention.
3 The Environmental Protection Agency published a document in 1998 detailing ways to
4 incorporate pollution prevention measures in permitting, enforcement and inspection in
5 delegated programs. This document, Pollution Prevention Solutions During Permitting,
6 Inspections and Enforcement, includes seventy-one concrete examples of how states have
7 used pollution prevention to help companies meet or exceed compliance requirements in
8 all media areas and across all media.
10 Action| items:
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12 a. EPA should review existing federal environmental statutes to identify avenues to
13 increase pollution prevention and should identify and explore impediments to
14 integrating pollution prevention using existing regulatory directives. EPA's
15 review should list avenues or mechanisms identified, impediments found and
16 approaches to overcome barriers identified.
17
18 b. EPA should encourage the states to review existing source reduction opportunities
19 in the context of state permit issuance, enforcement and inspection programs for
20 increased opportunities for source reduction and identify impediments for
21 incorporating source reduction at the state level. Review by the states should
22 detail opportunities identified and employed to implement source reduction
23 measures and describe steps examined and undertaken to overcome impediments
24 to increasing source reduction at the state level. EPA should provide some idea of
25 a regulatory framework to accomplish this task.
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27 c. EPA should, in consultation with tribes, review the implementation of federal
28 environmental statutes within Indian country to identify ways to integrate
29 pollution prevention into aspects of federal statutes that EPA implements directly
30 and to encourage tribes to integrate pollution prevention into those programs for
31 which they have primary authority. EPA should also provide assistance to tribes
32 that choose to promote pollution prevention through tribal laws, such as Tribal
33 Environmental Policy Acts.
34 y
35 Wa. EPA should instigate a review of federal and state pollution prevention measures
36 for duplication and eliminate duplication where possible.
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38 Ifaa Promote Local Area Multi-Media, Multi-Hazard Reduction Planning and
39 Implementation.
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41 Background: Toxic pollutants raise concerns because sources of emissions and people
42 are concentrated in the same geographic area, leading to large numbers of people exposed
43 to the emissions of many hazardous air pollutants from many sources. Additionally, while
44 j exposures to some pollutants may be fairly similar across the country, studies in a
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number of other areas indicate that exposures to other pollutants, and any associated
risks, may vary significantly from one area to the next. Pollution prevention should target
local sources with effective solutions. In addition, hazard reduction in industrial facilities
also improves chemical plant safety, which is a key concern for not only environmental
justice communities, but also EPA and the nation as a whole. The potential through these
efforts is enormous. More than 113 million lbs/yr (56,500 tons/yr) of hazardous
chemicals and more than 152 million lbs (76,000 tons to date) of solvents have been
eliminated through Green Chemistry initiatives. This includes elimination of CFC and
VOC solvents as well as persistent, toxic, and bioaccumulating chemicals. These
programs have also saved 55 million gallons/yr of water, saved 88.9 trillion BTU/yr of
energy, and eliminated 57 million lbs/yr of carbon dioxide emissions.38
Action Items:
a. Identify a mechanism to locate areas with multiple sources of pollution
^ b. Distinguish permitted and non-permitted sources and activities
c. Determine opportunities to include pollution prevention in permitted facilities
d. Report on and develop regulations, incentives and other initiatives to reduce
pollution from permitted and non-permitted sources.
e. Compile and utilize the myriad of EPA and other methods and approaches in
multi-hazard reduction planning.
f. Apply multi-stakeholder collaborative model to accomplish multi-hazard
reduction.
5. Encourage "Green Buildings," "Green Businesses," and "Green Industries"
through EPA's Brownfields and Smart Growth programs.
Background: Businesses and communities share a common interest in returning
properties with actual or potential environmental contamination to productive use.
Brownfield projects, which by their nature often reduce pollution by remediating and
reusing formerly impacted properties, routinely incorporate dialogue with neighboring
community members to identify their goals for site response and reuse, whether these
projects are coordinated by EPA, states or performed independently under the ASTM
standard for brownfields. The new brownfields legislation, the Small Business Liability
Relief and Brownfields Revitalization Act, encourages environmentally friendly
redevelopment through brownfields grant selection criteria, e.g. "The Administrator shall
establish a system for ranking grant applications received under this paragraph that
38 Mary Kirchhoff, The Green Chemistry Institute.
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includes... [t]he extent to which a grant would facilitate the use or reuse of existing
infrastructures." EPA has also been active in facilitating recreational community
enrichment projects, such as converting brownfields into community parks and recreation
fields, where is has been demonstrated that contamination no longer exists. EPA
currently is developing guidance for implementation of the Brownfields Revitalization
Act to clarify that cleanups undertaken under these programs will incorporate robust
public participation measures, such as those included in the ASTM Standard Guide for
Process of Sustainable Brownfields Redevelopment. (November 1, 1998).39
Projects should address equity issues and promote green industries development as well
as the use of existing infrastructure. Projects should address equity issues and promote
green industries development as well as the use of existing infrastructure. One such
"green building" brownfields development is a project by Bethel New Life project in
Chicago. Similarly, EPA worked with community group members, local government, the
school district and the site owner to transform the closed, remediated H.O.D. landfill and
its buffer property into a multi-use recreational facility. Efforts were made to ensure that
no further contamination from the landfill would impact the new walking and running
trails, ball fields and a planned ecological education laboratory. To assure long-term
environmental protection and provide "green energy," landfill gas collected at the closed
facility will be collected and used to heat school buildings and homes. In additional
examples, New York state remediation projects, which benefit the environment and have
potential for public or recreational use of cleaned up property, are eligible for grants.
a. EPA, in cooperation with other federal agencies, should provide clear, readily
accessible information to encourage new development, construction or
redevelopment. These efforts should include green building materials, sustainable
energy options and sustainable transportation options.
b. Brownfields projects should use the opportunity to reuse land to support more
sustainable use of the land that does not leave contamination for future
generations. One way to do this would be to encourage and promote a green
business development component in projects receiving the support of government.
c. EPA should give full weight to criteria that encourages environmentally friendly
development in the new Brownfields Law.
39 ASTM Standard Guide for Process of Sustainable Brownfields Redevelopment.. Novemberl. 1998.
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6. Promote Product Substitution and Process Substitution in Areas which Impact
Low-income, Minority and Tribal Communities.
Background: Society depends upon chemical to provide it with a wide range of
consumer products, from life-saving pharmaceuticals to plastic food containers, which
make up the fabric of our everyday lives. Yet the manufacture of chemicals has created
some unintended environmental consequences. The use of chlorofluorocarbons (CFCs)
in air conditioners, refrigerators, and aerosol cans has catalyzed the destruction of
stratospheric ozone. Combustion of fossil fuels has been linked to global climate change.
Industrial releases of pollutants have damaged both human health and the environment.
There have been a variety of initiatives to promote product and process substitution in
low-income communities and communities of color. In order to maintain standard of
living while protecting human health and the environment, fundamental changes are
required in the area of product and process substitution, focusing on the design of
chemical products and processes that reduce or eliminate the use and generation of
hazardous substances. Human health and environmental benefits can be realized by
designing toxicity and hazard out of the chemical manufacturing process. This is a
classic example of how pollution prevention can be used in environmental justice
communities to bring about positive change.
The "Healthy Home and Healthy School" projects, through product substitution of lead
based paints with non-toxic paints have made strides in reducing lead levels in the homes
and schools of environmental justice communities. The Janitorial Products Pollution
Prevention Project found that use of hazardous products could be reduced by 13% per
years if janitors used fewer chemicals, substituted less toxic chemicals, installed mats,
vacuumed and avoided aerosol products. Another area of concern is in pest control.
Dow AgroSciences developed a targeted approach to termite control using a highly
selective insect growth regulator that disrupts the molting process in termites. 4 This
breakthrough replaces typical termite treatments that use large quantities of insecticide to
form a barrier around a structure. By switching to a targeted bait system, worker
exposure to large volumes of insecticide is reduced and potential contamination of wells
and ponds is avoided. Similarly, Cleary Chemical Corporation designed a Nutritional
Metabolism Disruptor to block the formation of uric acid, a vital component in cockroach
metabolism and reproduction. This technology eliminates the need for conventional
chemical insecticides, providing a safer option for controlling cockroaches, which pose a
significant health problem in low-income communities.
Actions items:
a. Develop "Cleaning for Health" or "Healthy Home and Healthy School" projects,
including schools within Indian reservations.
40 Mary Kirchhoff, The Green Chemistry Institute
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b. Replicate and expand innovative pollution prevention technical assistance projects
(such as the current dry cleaner, auto body repair, printer pollution prevention,
and integrated pest management projects).
c. Target facilities and activities for which pollution prevention through product
substitution is needed.
d. Document the success of these projects and widely disseminate material on
product alternatives, reductions and substitutions.
7. Promote efforts to incorporate Pollution Prevention and Environmental Justice
in Supplemental Environmental Projects (SEPs).
Background: A SEP is an environmentally beneficial project, not otherwise required by
law, which an individual, corporation or government entity (entity) agrees to perform in
settlement of an enforcement action. In exchange for the legal commitment to undertake
a SEP, a percentage of the cost of the SEP may be considered as a factor in establishing
the penalty paid. Both the United States Environmental Protection Agency (EPA) and
many states promote the use of SEPs. SEPs may arise in the contexts of either: (1) an
EPA initiated enforcement action or (2) the voluntary self-disclosure of a violation under
the EPA Audit Policy. In the EPA led enforcement context, SEPs conform to the EPA
SEP Policy of May 1, 1998. SEPs must meet certain requirements for EPA to enter into a
settlement agreement that includes a SEP. By far the most limiting of these requirements
is the need for "nexus" between the violation and the proposed project. A nexus exists if:
(1) the project is designed to reduce the likelihood that similar violations will reoccur; (2)
the project reduces adverse impacts to public health or the environment from the
violation; or (3) the project reduces overall risk to public health or the environment from
the violation.
Pollution Prevention SEPs involve changes that reduce or eliminate some form of
pollution, or reduce pollutants, toxicity prior to recycling, treatment, or disposal. In the
context of SEPs, pollution prevention is synonymous with source reduction. Examples of
pollution prevention SEPs have included: use of less toxic materials to make products;
modifications in the production process to reduce materials losses; changes in product
design which require less pollution processes; and improved housekeeping. Pollution
Prevention SEPs that implement source reductions are especially favored.
Pollution prevention assessments, which fall within the broader category of "Assessments
and Audits," are systematic, internal reviews of specific processes and operations
designed to identify and provide information about opportunities to reduce the use,
production, and generation of toxic and hazardous materials and other wastes. To be
eligible for SEPs, such assessments must be conducted using a recognized pollution
prevention assessment or waste minimization procedure to reduce the likelihood of future
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violations. Pollution prevention assessments are acceptable as SEPs without a specific
commitment to implementation. Implementation is not required because drafting
implementation requirements before the results of an assessment are known is difficult.
The EPA SEP Policy emphasizes the value of "SEPs in communities where
environmental justice concerns are present...". However, "[bjecause environmental
justice is not a specific technique or process but an overarching goal, it is not listed as a
particular SEP category; but EPA encourages SEPs in communities where environmental
justice may be an issue." In addition, the EPA SEP Policy explicitly encourages
community participation in the SEP development process, by recognizing that,
"[s]oliciting community input into the SEP development process can: result in SEPs that
better address the needs of the impacted community; promote environmental justice;
produce better community understanding of EPA enforcement; and improve relations
between the community and the violating facility.
Action/items:
a. Improve coordination and efficiency of activities through increased programmatic
integration of Audit Policy, compliance assistance, pollution prevention SEPs,
and environmental justice activities.
b. Improve quality of SEPs, increase community participation and reduce transaction
cost to SEP agreement by implementation of SEP-Pollution Prevention training
designed for different stakeholder groups, implementation of SEP-Pollution
Prevention Library; and finalizing the draft "EPA Guidance for Community
Involvement in Supplemental Environmental Projects," 65 Fed. Reg. 40639-
40644 (June 30, 2000).
c. Increase the number of Pollution Prevention-Environmental Justice SEPs by
encouraging states, tribes, and municipalities to establish SEP policies;
establishing system of incentives both within EPA and outside; and increasing
communication between EPA Regional SEP coordinators and EPA Regional
Environmental Justice Coordinators.
d. Create market based Pollution Prevention SEP through which the entity could
purchase/fund pollution prevention initiatives at non-entity or off-site facilities
benefiting the impacted low-income and or minority communities or other
community with an appropriate nexus.
e. Quantify results of Pollution Prevention-Environmental Justice SEPs through
tracking and monitoring to identify the type and level of use of Pollution
Prevention-Environmental Justice SEPs and enhance compliance with SEP terms
and determine actual levels or pollution reductions.
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8. Promote Just and Sustainable Transportation Projects and Initiatives.
Background: Just and sustainable transportation strategies focus on ways to assure that
all people have access to high quality and affordable transportation systems. These will
maximize the use of the cleanest, least polluting, and least resource-intensive vehicle
technologies and fuels. These will provide expanding choices for people and businesses
to move themselves and freight in an environmentally sound way. Similarly, they would
enable communities and economies in a planned manner so as to function with less need
to move people and goods. These strategies are critical for improving the quality of life
of minority, low income and tribal communities and other transportation disadvantaged
and sensitive populations such as those with respiratory illnesses, the elderly, the
disabled, and children, which historically receive the least benefits of adequate
transportation systems while often bearing the greatest burdens.
While only 8% percent of American households do not own motor vehicles on average,
that number jumps to approximately 22% for black families. Also approximately 80% of
all vehicle-less households earn less than $25,000 annually. This makes access to clean,
affordable mass transportation an area of concern from an environmental justice
perspective. Programs that promote building of transit oriented communities (land use),
reduce the cost of mass transit use (commuter choice) and retrofitting of the existing
transit fleet with cleaner engines (retrofit) are all valuable assets that help assure that all
people have access to high quality and affordable transportation systems.
One particularly important pollution prevention challenges in the area of transportation
from an environmental justice perspective involves meaningful community involvement
in the transportation planning process and proper consideration of land use issues.
Additionally, greater utilization of environmental friendly and non-polluting vehicle
technologies and tools would help address potentially adverse and disproportionate air
quality and other environmental and health impacts from transportation related pollution.
Due to Clean Air Act requirements for cleaner vehicles, engines, and fuels today the
average new car is forty percent cleaner than in 1990. Everyday, across the nation, clean
air programs prevent 600 premature deaths; 2,000 cases of chronic illness such as asthma
and bronchitis; 300,00 cases of minor respiratory illness such as aggravated asthma; and
75,000 people from missing work. However air pollutants still present a significant
health risk. The Journal of the American Medical Association recently found that
airborne pollutants generated by diesel-powered vehicles caused reduced lung function,
lung damage increased asthma attacks and premature mortality. And according to a
report by The Center for Disease Control and Prevention in Atlanta, acute asthma attacks
have increased 100% among children in the last fifteen years from 2.3 to 5.5 million.
Action Items:
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a. Work in partnership with the U.S. Department of Transportation to ensure that
impacted communities have meaningful and early participation and are involved
throughout the transportation planning process.
b. Promote the best possible transportation projects and related infrastructure
development that enhance community viability and accessibility, both
environmentally and economically.
c. Ensure that transportation planning and environmental impact studies consider the
impacts of transportation policies and projects and promote use of clean
transportation technologies as part of pollution prevention and mitigation
measures where impacts are or that may be adverse and disproportionate.
d. Provide education and training to air quality and transportation agencies and the
public on ways to promote and incorporate use of non-polluting vehicle
technologies and clean fuels.
e. Promote greater access to mass transit systems and provide for increased
investments in transportation systems that provide better accessibility, particularly
for urban low-income and minority communities.
f. Develop public-private partnerships to increase use of non-polluting vehicle
technologies and clean fuels.
g. Identify incentives, both monetary and non-monetary, promote acquisition and
use of clean transportation technologies.
h. Increase purchase and use of clean technology and alternative fuel vehicles in
government owned vehicular fleets.
i. EPA works in partnership with BLA. and tribal governments to address these
issues for tribal communities.
9. Strengthen Implementation of Pollution Prevention Programs on Tribal Lands
and Alaskan Native Villages.
Background: Tribal governments tribal communities and Alaska Native villages face
significant challenges in safeguarding their lands and treaty protected tribal resources on
and off the reservations. When a viable tool to assist tribal governments in fulfilling their
duty is available it should be shared among the tribes and considered for adoption. The
National Tribal Environmental Council (NTEC), an inter-tribal organization comprised of
some 170 tribes, provides an important mechanism for sharing information on successful
tribal government programs, through its annual conferences, its web site and other means.
Many other organizations can serve as resources for educational programs and for sharing
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information, including the Institute for Tribal Environmental Professionals (ITEP) at
Northern Arizona University and the National Tribal Environmental Research Institute
(NTERI), operated by the Inter Tribal Council of Arizona. NTEC, ITEP, and NTERI are
some of the key entities supported by EPA to provide assistance to tribes.
Tribes generally support the concept of pollution prevention as it already has a long
history in tribal cultural practices. Pollution prevention is key to preserving tribal
resources on and off the reservations and is consistent with tribal values that encourage
planning for future generations.
Tribal governments and Alaska Natives are increasing economic opportunities through
partnerships with business and industry, often with federal program support. Many tribes
and Alaska Natives are using their natural resources to sustain the tribe economically.
Tribal reservations and Alaska Native lands contain a wealth of resources and minerals
from agriculture, timber, water, oil and gas reserves, low-sulfur coal and uranium.
Pollution prevention activities with industry on tribal and Alaska Native lands must
address these industrial activities and their associated environmental impacts. Pollution
prevention is also applicable to efforts to prevent pollution from commercial agriculture,
resource extraction, transportation and other industrial developments in tribal lands. This
should include establishing partnerships to develop research projects, providing technical
direction and administrative support for selected pollution prevention projects and
developing new methods and technologies that would save energy, reduce waste and
emissions.
One example is the Alaskan Native Resources Group that also uses pollution prevention
as a tool to preserve and protect their Alaska Native villages and environment. The
Alaskan Native Resources has used pollution prevention education to protect future
generations from environmental hazards. The Group cites that pollution prevention is a
simple method of following the Three R's. The three R's are:
• Reducing purchases that will become wastes (this is consumer source
reduction or waste prevention)
• Reusing purchases before discarding them as trash
• Recycling41
The Indigenous Environmental Network, a national Native environmental justice
organization, taking a lead from the mid 1990's Earth Ambassadors initiative of the
United National Indian Tribal Youth program have incorporated a fourth "R", that being
Respect. This is based upon most tribal philosophy of a connection to good things
coming in four and for all people to have more respect for the earth and environment.
41 "Pollution Prevention." Alaskan Native Resources. 29 July 2002.
http://www.alaskanativeresources.com/p2.html.
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Action items:
a. EPA should provide or offer assistance to tribal governments who need to fill the
enforcement gap by Direct Implementation of Tribal Cooperative Agreements
("DITCAs").
b. EPA should offer assistance to tribal governments in the drafting and
implementing of Tribal Environmental Policy Acts ("TEPAs") that include
pollution prevention requirements.
c. EPA should provide or offer assistance to tribal governments to engage in land
use planning and economic development activities under tribal law to promote
pollution prevention as another approach to advance pollution prevention
activities on tribal lands.
d. EPA should provide or offer assistance to tribal governments to develop walkable
neighborhoods, incorporating smart growth principles, using geographic
information system technologies to assist in land use analysis and planning are
strategies for incorporating pollution prevention in development projects.
e. EPA should provide or offer assistance to tribes, tribal education institutions and
Native organizations to institute educational programs to advance pollution
prevention in and near tribal lands.
f. EPA should work with other federal agencies to provide or offer assistance to
tribes to promote pollution prevention initiatives in industrial development such
as mineral extraction activities operating within and near the lands of tribes and
Alaska Native villages.
g. EPA should provide or offer assistance to tribal governments to develop
memorandum of understandings ("MOU") with adjoining governmental entities
such as states or municipalities. These MOUs can also be generally helpful in
addressing pollution prevention issues and implementing pollution prevention
programs. EPA should investigate to determine the extent to which such
agreements already exist and whether such existing agreements can be used as a
model.
10. Promote Efforts to Institutionalize Pollution Prevention Internationally,
Particularly in Developing Countries.
Background: Pollution does not recognize political or jurisdictional boundaries. As a
result pollution generated locally has national and international impacts. There is a need
for increased global environmental protection as well as enhance'd economic development
in developing countries. These needs (for protecting the environment and continued
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economic development) must be balanced and the tradeoffs between the two objectives
minimized. This requires that governments, industries, and citizens —at home and
abroad— stop viewing pollution and resource depletion as inevitable by-products of
"progress." Additionally, the stakeholders should work to incorporate environmental
management into all levels of decision-making. This requires a focus on preventing
pollution before it occurs, and making the most efficient use of existing natural resources.
Measures to address pollution prevention should be promoted on an international level
with a special focus on developing countries in order to assist these countries to improve
their standards of living in more sustainable ways than many of those chosen by the
developed nations.
In efforts to all levels of decision-makers in measures to promote pollution prevention,
special attention should be directed to the circumstances of indigenous peoples. In many
parts of the world, polluting industries such as mineral extraction take place within the
aboriginal territories of indigenous peoples, often without any legal requirement for
informed consent of such peoples. An emerging body of international law, including
human rights law, recognizes the rights of indigenous peoples to maintain their own ways
of life within their aboriginal homelands, which necessarily includes a substantial degree
of autonomous self-government in matters such as environmental and natural resource
management.42 In many countries, however, national law provides little or no protection
for the rights of indigenous peoples. Pollution prevention offers a range of ways to avoid
imposing environmental damage on indigenous peoples, and special efforts should be
pursued to engage them in pollution prevention initiatives.
The USAID's Global Development Alliance has been developed to combine international
assets of governments, business and civil society to work in partnership in implementing
sustainable development programs in developing nations. The GDA seeks to serve as a
catalyst to mobilize the ideas, efforts, and resources of the public sector, corporate
America and non-governmental organizations' in support of shared objectives. The
International Joint Commission (created by the US and Canada) oversees water quality in
the rivers and lakes that lie along or flow across the United States-Canada Border. The
two countries cooperate to manage and protect these waters. The Commission
established the International Air Quality Advisory Board to identify and provide advice
on air pollution issues with transboundary implications. The North American Agreement
on Environmental Cooperation (NAAEC) to address regional environmental concerns, to
prevent potential conflicts between trade and environmental protection interests, and to
promote the effective enforcement of environmental law, established the Commission for
Environmental Cooperation (CEC).
Efforts also are needed to improve the environmental quality and affordability of
products distributed throughout the world. Major U.S. corporations including Dow,
Dupont, Hewlett Packard, Coca Cola, Johnson and Johnson, Pfizer, and Timberland, as
42 See generally S. James Anaya, Indigenous Peoples in International Law (1996).
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well as non-U. S. companies such as Unilever are currently engaged in initiatives to
market environmentally sound products in developing countries. EPA can play a role in
encouraging and providing information on initiatives to provide the world with needed,
high quality, environmentally benign products at affordable cost. These activities not
only reduce world pollution, but they seek to extend economic vitality to all.
Actions items:
a. Promote sustainable consumption and production patterns both locally and on an
international level.
b. Continue the establishment and support cleaner production programs and centers.
Additionally, the concept of waste minimization circles and clubs (currently in
India, South Africa and Europe) can be expanded to involve greater community
participation. This strategy could help to improve the profitability of SMEs and
be an integral part of local poverty reduction strategies.
c. Continued cooperation with the CEC for implementation of pollution prevention
programs in North American countries.
d. Expanded U.S. technical assistance program to governments for development of
environmental protection policies, regulations and laws.
e. Review existing federal program to identify ways to assist indigenous peoples in
realizing the potential benefits of pollution prevention, through technical
assistance for sustainable development within indigenous communities and
through measures to avoid imposing environmental burdens on indigenous
peoples in order to provide benefits for others.
11. Provide Incentives to Promote Collaboration Among Communities, Business
and Government on Pollution Prevention Projects in Environmental Justice
Communities.
Background: Communities, business and government should form partnerships to
implement and sustain pollution prevention programs that target environmental justice
communities. EPA can facilitate these cooperative efforts directly and by encouraging
states to engage in pollution prevention programs and outreach efforts. Government can
provide incentives for communities to embrace pollution prevention solutions by
providing resources for capacity building, disseminating written information concerning
pollution prevention, and considering input from and environmental risks to communities
when issuing permits and setting standards in targeted communities. Government
incentives to businesses to engage in collaborative pollution prevention efforts may
include drafting flexible conditions or pollution prevention compliance options in
permits, employing innovative pilot programs, and providing technical assistance.
Government can also encourage businesses implementing private programs such as the
chemical industry's Responsible Care to focus on pollution prevention initiatives for
environmental justice communities.
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An example of a flexible permitting process that creates mutual benefit to communities
and manufacturers is a Project XL program undertaken by Merck & Co. Merck reduced
air emission levels in Elkton, Virginia by converting its coal-burning powerhouse to
natural gas. Use of a cleaner burning fuel enhanced visibility and reduced acid
deposition in the local community and a national park. In exchange, Merck received a
site-wide emissions cap that allowed it to make changes at the facility without obtaining
further regulatory approval as long as the cap was not exceeded.
Action Items:
a. EPA and states should implement pollution prevention program and outreach
efforts that target environmental justice communities. EPA should provide
incentives to communities to participate in collaborative pollution prevention
activities by offering resources for capacity building, disseminating literature and
written information concerning pollution prevention and considering input from
and environmental risks to communities when issuing permits and setting
standards. Literature should include plain English and multi-lingual descriptions
of pollution prevention resources. Permitting processes should include
discussions among communities, business and government of opportunities to
implement pollution prevention. EPA should designate within its Office of
Enforcement and Compliance Assistance a knowledgeable technical assistance
staff to coordinate EPA outreach efforts and facilitate dialogue among the
community, business and government, help identify specific pollution prevention
projects suitable for the community, and educate companies and communities
about the existence of proven, cost-effective technologies and innovation
opportunities.
b. EPA should identify "priority pollution prevention communities" based upon the
risk posed to communities from the aggregation of polluting sources. This
initiative should focus on communities of color and low-income communities,
thereby reflecting the stated commitment of EPA to environmental justice. EPA
should provide compliance assistance and pollution reduction and elimination
incentives targeted at activities within these communities.
c. EPA should develop and implement programs, initiatives and incentives to
encourage businesses to engage in collaborative partnerships to implement
pollution prevention, use green technologies and non-toxic materials and design
innovative processes in minority and low-income communities. These incentives
may include special recognition of the business for its pollution prevention
activities; low interest loans or grants for research into pollution prevention
solutions to community risks; expedited permitting; consolidated multi-media
reporting; flexible, multi-media, facility-wide permits with a single agent point of
contact; "smart permits" that authorize a range of operating scenarios
contemplated by the company obtaining the permit; compliance options in permits
based on pollution prevention technologies or innovation; and increased
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emissions reduction credits or higher trading ratios where pollution prevention is
used in the context of an emissions trading program to reduce pollution in an
environmental justice community. EPA should also communicate pollution
prevention ideas to industry sectors through trade associations, an integrated
website, or other means and enhance the existing pollution prevention
Roundtable. EPA should encourage groups supporting corporate environmental
reporting (GEMI, the Conference Board, UNEP, ISO) to include separate line
item reporting on pollution prevention in environmental justice communities.
d. EPA should initiate, and encourage states to initiate, programs to assist small
businesses in developing and implementing pollution prevention activities
including source reduction, waste minimization and recycling.
e. EPA should facilitate the formation of government-private sector partnerships to
encourage businesses that cannot eliminate wastes to recycle them. EPA should
develop programs to increase the volume of recyclable and reusable materials
collected from public and private sources (e.g. electronics and paper from
businesses and consumers). EPA should provide incentives to increase use of
products made from recyclable materials. Without product use, collection of
recyclables is unsustainable.
Other Consensus Proposals under Consideration
> Clean Energy
> Waste Minimization
> Mining and Resource Extraction
> Federal Facilities
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PART II: STAKEHOLDER
PERSPECTIVES
Chapter 3: Community Perspectives
Chapter 4: Tribal Perspectives
Chapter 5: Business and Industry Perspectives
Chapter 6: Government Perspectives
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Chapter 3: Community Perspectives
This chapter was authored by members of the Community Stakeholder group to elaborate
on the views of the members of that group, not necessarily reflect the views of members of
other stakeholder groups or of the NEJAC Executive Council.
INTRODUCTION
Communities of color, low-income and tribal communities are committed to reducing,
eliminating and preventing pollution and its adverse impacts, thereby improving
environmental quality where people live, work and play. Impacted communities have
viewed pollution prevention (P2) strategies with suspicion because they appear only to
manage pollution emissions rather than significantly reducing or eliminating them.
Pollution prevention offers tremendous potential to help reduce and eliminate pollution
and improve the quality of life in communities. There exists opportunities under existing
statutes to advance the goals of pollution prevention and environmental justice. For
communities to turn to pollution prevention as a way of addressing environmental
inequities, they need to have an established role in the planning and implementation of
pollution prevention projects. Recognizing the importance of that role, communities
define pollution prevention as it applies to environmental justice as "activities that
include community participation and involvement in decision making to reduce,
minimize and eliminate pollution through sustainable practices that demonstrate
sustainable development and activities." This chapter describes the community
perspective on pollution impacts, the potential value of pollution prevention to
communities and measures to more fully integrate pollution prevention to advance
environmental justice.
Communities understand that existing environmental standards allow some pollution that,
at permitted levels, is believed to be safe, but recognize that errors are possible.
Scientific uncertainty in many areas is undeniable. In the face of scientific uncertainty
measures and policies to reduce pollution should not be narrowly defined and should
include use of the precautionary principle. This principle, according to the 1992 Rio
Declaration on Environment and Development, states that '[w] hen there are threats of
serious or irreversible damage, lack of scientific certainty shall not be used as a reason for
postponing cost-effective measures to prevent environmental degradation." The
precautionary principle advises that if there are errors, we should err on the side of
caution. This means that decisions respecting pollution prevention should be informed by
the precautionary principle. Pollution prevention policy-making should include the
precautionary principle because both concepts seek to protect the environment, stress
proactive and anticipatory action and the assessment of alternatives. Pollution prevention
is consistent with the precautionary principle since its aim is to reduce pollution even at
levels considered by government to be safe. Innovation in pollution prevention measures
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or technologies should also employ the precautionary principle for guiding decision-
making under conditions of uncertainty.
Pollution prevention lacks the enormous impediments to implementation that are shared
by the other approaches requiring legislative action, enforcement or success in litigation.
As a concept it has the support of communities. However pollution prevention has many
definitions, several definitions vary depending on which stakeholder group is defining
pollution prevention, and is used to describe many activities including those that do not
involve communities. Pollution prevention could be more accessible to communities if
they could see themselves more directly involved and invested in it. For communities to
turn to pollution prevention as a way of addressing environmental inequities, they need to
have an established role in pollution prevention planning, projects and activities.
Recognizing the importance of that role, communities define pollution prevention as it
applies to environmental justice as "activities that include community involvement and
participation to reduce, minimize and eliminate pollution through sustainable practices
that demonstrate sustainable development and activities that go beyond compliance."
Communities also need to feel that their role will have an impact on the process rather
than being used to play a public relations role. This chapter describes the community
perspective on pollution impacts, the value of pollution prevention to communities and
measures to more fully integrate pollution prevention to advance environmental justice.
UNDERSTANDING POLLUTION IMPACTS
Communities of color, low-income and tribal communities suffer from numerous adverse
pollution impacts from non-sustainable environmental practices that could be reduced or
eliminated through pollution prevention measures. These impacts include unfavorable
health effects and adverse impacts which are environmental, societal, economic, and
international. Reducing all of these adverse impacts from pollution is a key concern of
communities that is also shared by the Environmental Protection Agency. The chief
goals of the major environmental protection statutes administered by EPA are "protection
of public health and the environment". EPA's Framework for Pollution Prevention
acknowledges the relationship between preventing adverse health impacts and preventing
pollution by stating that partnership with the public health community is a key objective
in order to demonstrate that "pollution prevention is disease prevention".1
Health and Environmental Impacts
Pollution prevention measures can reduce poor air quality that is believed to contribute to
illness and premature death in communities. Outdoor air pollution is responsible for
1 EPA Pollution Prevention Policy Framework, Guiding Social Principles,
www.epa.gov/p2/p2ppolicy/framework.htm.
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2 Daniel M. Steigman, Is it "urban" or "asthma?". The Lancet, July 1996, at 143-144 (documenting much
higher asthma hospital admission rates in poor and minority communities than in other areas of Boston); R.
Charon Gwynn and George D. Thurston, The Burden of Air Pollution: Impacts among Racial Minorities.
Environmental Health Perspectives. Volume 109, Supplement 4, August 2001 (exploring disparities in
hospital admissions and mortality by race in New York City); Susan M. Bernard, Johnathan M. Samet,
Anne Grambsch, Kristie L. Ebi, and Isabelle Romieu, The Potential Impacts of Climate Variability and
Change on Air Pollution-Related Health Effects in the United States. Environmental Health Perspectives,
Volume 109, Supplement 2, May 2001 (stating that air pollution can cause, respiratory diseases,
cardiovascular diseases, alter host defenses, damage lung tissue, lead to premature death and contribute to
cancer).
3 Tom Bellander, Public Health and Air Pollution. The Lancet, January 2001, at 69-70 (estimating the
increase of mortality as a result of long term studies of air pollution in Austria, France and Switzerland).
Kunzli, N; Kaiser, R; Medina, S; Studnika, M; Chanel, O; Filliger, P; Herry, M; Horak, Jr. F; Puybonnieux-
Texier,V; Quenel, P; Schneieder, J; Seethaler, R; Vergnaud, J-C; Sommer, H., Public Health Impact of
Outdoor and Traffic Related Air Pollution: A European Assessment. The Lancet, September 2000, at 795-
801 (finding that air pollution caused 6% more total mortality, 25,000 new cases of chronic bronchitis in
adults, 290,000 additional cases of bronchitis in children, 500,000 more asthma attacks and 16 million
person days of restricted activities); Jun Kagawa, Atmospheric Air Pollution Due to Mobile Sources and
Effects on Human Health in Japan. Environmental Health Perspectives 102, Supplement 4, October 1994
(finding that unfavorable human health effects result from automobile caused air pollution in large cities
and along transportation routes); Tony Sheldon, Reducing Greenhouse Gases Will Have Good Short Tern
Effect. British Medical Journal, Volume 321, page 1367, December 2002 (finding that bronchitis in
children fell ten percent in relation to reduced concentrations of particulate matter).
4
Tracey J. Woodruff, Daniel Axelrad, Jane Caldwell, Rachel Morello-Frosch, and Arlene Rosenbaum,
Public Health Implications of 1990 Air Toxics Concentrations across the United States. Environmental
Health Perspectives, Volume 106, May 1998; Rachel A. Morello-Frosch, Tracey J. Woodruff, Daniel A.
Axelrad, Jane C. Caldwell, Air Toxics and Health Risks in California: The Public Health Implications of
Outdoor Concentrations. Risk Analysis, Volume 20 Issue 2, February 2000 (predicting 8600 excess cancer
cases and for non-cancer health effects a median total hazard index of 17). A national study of air toxics
data found that 10% of all census tracts had one or more carcinogenic hazardous air pollutants present in
excess of the defined health benchmark concentrations for cancer and non-cancer health effects and over
90% of census tracts had estimated concentrations of benzene, formaldehyde and 1-3 butadiene greater than
the cancer health benchmark.
5 Sandra Geschwind, Jan Stolwijk, Micheal Bracken, Edward Fitzgerald, Alice Stark, Carolyn Olsen, and
James Melius, Risk of Congenital Malformations Associated with Proximity to Hazardous Waste Sites.
American Journal of Epidemiology, Volume 136, No. 11, 1992 (finding an additional risk of bearing
children with birth defects associated with residence near hazardous waste sites); Samuel S. Epstein,
Environmental and Occupational Pollutants are Avoidable Causes of Breast Cancer. 24 Int'. J. Health
Servs., 145,147, 1994; Elizabeth L. Lewis-Michl, Ph.D., R. Kallenbach, Ph.D., Nannette S. Geary, James
M. Melius, M.D., Dr. P.H., Carole L. Ju, M.S.,Maureen F. Orr, M.S., Steven P. Forand, Investigation of
Cancer Incidence and Residence Near 38 Landfills with Soil Migration Conditions: New York State 1980-
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increased morbidity and mortality locally and throughout the world3. Research supports
the community's view that asthma and other respiratory diseases, cancer, birth defects,
liver and kidney damage and premature death, are all attributable, at least in part, to air
pollution exposures.4 Air pollution exposures due to residence in exposure zones of
hazardous and other waste sites have also been associated with statistically increased
risks of birth defects, breast cancer, and leukemia and bladder cancer.5
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Pollution prevention can also reduce the devastating effects of pollution on the
environment for plants, animals, marine life and other living things including people who
rely on the environment for subsistence food gathering. Some pollutants are persistent
(degrade slowly) and bioaccumulate in the environment, often becoming part of the food
chain ultimately consumed by people. These types of pollutants, persistent
bioaccumulative toxics, are commonly referred to as PBT's. Health effects from
subsistence food consumption can translate into extraordinarily high risks for cancer and
non-cancer health effects.6
Native American and Alaskan Native Nations can benefit from pollution prevention
because they are exposed to many of the same environment threats as other communities
of color. They suffer from adverse effects of pesticides and other hazardous substances.7
These exposures result into a variety of adverse health effects including asthma,
hypertension, thyroid disorders, cancer and leukemia. Pollution has also impacted upon
their ability to engage in traditional cultural practices.8 However risks to Native Nations
are increased because they have not had adequate resources on a government-to-
government basis to address those risks.9
Societal and Developmental Impacts
Societal and developmental impacts that communities believe that are pollution related
can be reduced through pollution prevention. Disparities in socioeconomic status result in
1989 ("showing statistically significantly elevated risks for female bladder cancer and female leukemia
among women residing in the landfill exposure buffers).
6 According to the NEJAC Fish Consumption Report, low-income communities, communities of color and
tribes have subsistence fish consumption rates ranging from the 90th to the 99th percentile rates for the
general population. These fish consumption rates translate into extraordinarily high risks for cancer and
non-cancer health effects;Industrial Technology Associates, EPA Cumulative Exposure Assessment for
Greenpoint-Willi amsburg. 2000 (concluding that total cancer risks from fish consumption range from 1 in
10 to 1 in 1000); Jason Corburn, Combining Community-Based Research and Local Knowledge to
Confront Asthma and Subsistence Fishing Hazards in Greenpoint-Williamsburg. Brooklyn. New York.
Environmental Health Perspectives Supplements, Volume 110, Number 2, April 2002.
7 Lorraine Halinka Malcoe, Robert A. Lynch, Michelle Cozier Kegler and Valrie A. Skaggs. Lead Sources-
Behaviors and Socioeconomic Factors in Relation to Blood Lead of Native American and White Children.
Environmental Health Perspectives Supplements, Volume 110, Number 2, April 2002; Somini Sengupta, A
Sick Tribe and a Dump as a Neighbor. The New York Times, April 7, 2001.
8 U.S. Fish and Wildlife Service, Division of Environmental Quality, Pesticides and Wildlife, Pesticides
and Wildlife. July 2001, http://contaminants.fws.gov/Issues/Pesticides.cfm.; Lisa Mastny, Coming to
Terms with the Artie. Worldwatch Institute, Worldwatch, Volume 13, p. 24, January 2000.
9 Mary Arquette, Maxine Cole, Katsi Cook, Brenda LaFrance, Margaret Peters, James Ransom, Elvera
Sargent, Vivian Smoke and Arlene Stairs, Holistic Risk-Based Environmental Decision Making: A Native
Perspective. Environmental Health Perspectives Supplements, Volume 110, Number 2, April 2002
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health disparities that are exacerbated by environmental exposures.10 Health care
opportunities, health status, educational opportunities, intergenerational transfers of
wealth, poverty and lack of health insurance are all measures of socioeconomic status that
increase the risk of health disparities and are effected by both race and pollution
exposures."
The reduction or elimination of pollution, especially PBTs, would be an effective way to
address developmental damage and delay that is more likely to occur when children are
exposed to multiple and cumulative risks in their environment.12 Certain pollutants also
have adverse impacts on the reproductive system, and a special concern is endocrine
disruptors since they are extremely persistent, bioaccumulate, and therefore have a multi-
generational affect. Numerous pollutants targeted for toxic pollution reduction activities,
including lead; mercury and polychlorinated biphenyls are neurodevelopment toxicants
and cause learning disabilities, attention deficit hyperactivity disorder, developmental
delays and emotional and behavioral problems.13
Economic Impacts
Communities believe that pollution prevention would be a proactive way to address the
adverse economic impacts of pollution that exacerbate poverty and reduce earning ability.
Pollution exposure has adverse economic impact on the cost of access to health care in
environmental justice communities. Pollution exposures place a huge economic burden
on society and just four diseases associated with environmental causation cost the United
States and Canada as much as 397 billion dollars a year.14 There is emerging evidence
that there are economic impacts associated with reduced intelligence from pollution
exposures. Pollution also jeopardizes property values in impacted communities.
Decreased property values translate into loss of equity for use in getting bank loans, and
makes it more difficult to sell the property and relocate. Economic data indicates that
residence near the fence line of industrial facilities has an adverse economic effect on
property values whether or not the property is actually contaminated.15 Property that is
!0 Nancy E. Alder, and {Catherine Newman, Socioeconomic Disparities in Health: Pathways and Policies:
Inequality in Education. Income and Occupation Exacerbates the Gaps Between the "Haves" and the
"Have-nots". Health Affairs, April 2002
11 Id.
12 Francine Clark Jones, Community Violence, Children and Youth: Considerations For Program, Policy
and Nursing Roles, Pediatric Nursing, Volume 23, p. 131, March 1997.
13 Ted Schettler, Toxic Threats to Neurological Development of Children. Environmental Health
Perspectives, Volume 109, Supplement 6, December 2001
14 Tom Muir and Mike Zegarac, Societal Costs of Exposure to Toxic Substances. Environmental Health
Perspectives, Volume 109, Supplement 6, December 2001.
15 Paul S. Kibel, FAB Quarterly Viewpoint, Full Cleanup Preserves Full Value.
www.fablae.com/cleanup.htm.; Mundy Associates, LLC, Contaminated Property: Issues and Answers. June
2002, www.mundyassoc.com/contaminated.htm.
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actually contaminated by a nearby source or with contaminated drinking water may be
essentially worthless.
There are also adverse economic affects and viability impacts on the communities
inundated with brownfields, superfund, and other abandoned lands, especially when those
sites are contaminated. In addition, these sites provide continued exposure to
contamination. Though some funding opportunities exist via new initiatives for the
communities with brownfields, the funding is limited and few receive these benefits. In
addition, there is the cost of cleaning up these sites, which often become contaminated
due to failed regulation and enforcement. The economic brunt for the cleanup of
superfund sites is falling more on the taxpayers and less on the polluters.
In communities and indigenous lands throughout the country there exists subsistence
farmers and fisherman who depend on the land to support their families food needs.
Pollutants, especially PBTs that get into the food chain and heavy metals, can have
devastating impacts on this way of life. In addition, those small community businesses
such as fish farms that depend on the environmental health of the water and land are also
negatively economically impacted.
In urban centers, abandoned lines or sites create blight furthering the economic decline of
the surrounding area. Similarly, rural communities are impacted with reduced property
value for large tracts of land, which may contribute to land loss, becomingly increasingly
more impacted by the operation of large manufacturing facilities.
International Impacts
Pollution prevention has the potential to reduce pollution impacts on an international
level. Globalization has resulted in the shifting of industrial production to developing
countries along with accompanying pollution and adverse health-related effects.16 Global
warming due to fossil fuel use, increased use of pesticides, and exploitation of natural
resources in Third World countries by multinational corporations causing loss of
biodiversity, erosion and deforestation are all the results of unsustainable policies and
practices that threaten the entire planet but could be reduced through pollution prevention
measures.17 Most developing countries also do not have environmental regulation.
16 Khabir Ahmed, World Bank Predicts Development for the Next Century. The Lancet, September 18,
1999; Indoor Air Pollution Exposure Well Over WHO Guidelines. Health & Medicine Week, October 2-
October 9, 2000; Kenny Pronezuk, James Akre, Gerald Moy, Constanza Vallenas, Global Perspectives in
Breast Milk Contamination: Infectious and Toxic Hazards. Environmental Health Perspectives, Volume
110, Number 6, June 2002.
17 Joy Chen, Rachel Rivera, A Pocket Guide to the Environmental Millennium. The Amicus Journal,
Volume 21, p. 22, January 2000; Richard Fenske, Incorporating Health and Ecological Costs into
Agricultural Production. Environmental Health Perspectives, Volume 110, Number 5, May 2002.
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History shows that lack of environmental regulation enables industries that produce toxic
waste to be less responsible in pollution prevention.
ENFORCEMENT ISSUES
An essential component of a pollution prevention approach is compliance with existing
environmental laws and regulations. From the perspective of communities, much of the
adverse impacts that they experience would not occur if the regulatory agencies charged
with environmental and public health protection were more effective in carrying out their
statutory duties. Enforcement is often delegated by the US EPA to state regulatory
agencies and some communities are concerned that their states have dysfunctional
enforcement and compliance programs and that EPA does not exert their oversight
responsibilities. It is believed that this dysfunction is both cultural and financial in
nature. Pollution prevention strategies need to address both the cultural and financial.
Government actions to exempt farmwater PBT runoff from regulation as pollution,18 to
exempt burning of fields, to "grandfather" old and polluting facilities19 such as coal
burning power plants, proposals to reduce or abolish reporting requirements20, declines in
state inspections and enforcement,21 and elimination or suspension of environmental
rules22 form the basis for the belief of some communities that governmental protection
has not been as effective as is necessary to improve environmental quality.
Many communities consider the most egregious failure of environmental protection to be
the acceptance and toleration of compliance challenged or "flagrant violators". These
include industrial facilities that report or fail to report hundreds of tons of accidental
releases, companies that operate without permits, and / or repeated permit violators,
whose actions allow toxic releases to impact upon adjoining communities. Failure to
clean up or restore contaminated areas, imposition of fines that have no deterrence effect
and poor oversight of delegated programs by the Environmental Protection Agency are
examples of enforcement failures by governments that should be providing oversight.
These and other activities support legitimate complaints about the violator's negative
environmental impact on environmental justice communities and to the quality of the
environmental protection provided by regulatory agencies.
18 Paul Rogers, California Environmentalists Want Farmers to Adhere to Clean Water Laws, San Jose
Mercury News, February 22, 2002.
19 Darren Samuelsohn, National Park Visibility Hinges on EPA Regs. Land Letter, June 27, 2002.
20 Solid Waste Reporter, Activitists Say Public Health Threatened Under EPA Plan to Slash RCRA Regs.
2002; Sierra Club Environmental Quality Strategy Team, July 2002.
Id
" Arianna Huffington, What Are They Thinking In Washington?. Sierra Magazine, September-October
2002.
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Equity in enforcement efforts is a matter of concern for low income communities and
communities of color. Disproportionately impacted communities regularly report that
areas with significant environmental problems rarely see a resolution of those problems
despite the efforts of government. The phenomenon of unequal environmental protection
in communities of color and low-income communities has been documented in a growing
body of research, including the National Law Journal's 1992 study on EPA's superfund
program titled "Separate but Unequal' and Robert Bullard's book Unequal Protection 23
Just one example of this failure of enforcement is found in the 1984 General Motors
Superfund site adjoining the St. Regis Mohawk Reservation. A thirty-five foot high
sludge pile of toxic waste has impacted contaminated fish, water and members of the
tribe in the area for decades causing the Office of the New York Attorney General to
threaten a lawsuit. According to the Attorney General's Office, "[t]hey have basically
flouted the law for twenty five years".24 Hopes that the EPA would step in and pressure
the company to clean up the site never materialized.25
ADDRESSING COMMUNITY IMPACTS THROUGH POLLUTION
PREVENTION
Implementing pollution prevention measures to achieve environmental justice is based
upon accepting several underlying related philosophical premises. The first premise is
the protection of human health and the environment, which are the chief goals of the
environmental justice movement that can be achieved through pollution prevention.
Another key goal is sustainable development, since this leads to societal and economic
justice for environmental justice communities and the population at large. While other
stakeholders may have additional goals, this is a goal of the Pollution Prevention Act and
the federal and state environmental statutes and should be acknowledged as a key
objective for the workgroup.
A second premise is that pollution prevention activities that result in improving
environmental quality for communities can be achieved without sacrificing jobs,
economic stability or environmental quality. No one should have to choose between a
clean, healthy environment and jobs. Resistance to new pollution prevention activities on
the grounds that it threatens jobs must be exposed as an environmental myth and
economic blackmail. By contrast evidence suggests that pollution prevention activities
have the potential to create new employment opportunities in the manufacturing,
23 Marianne Lavell & Marcia Coyle, A Special Report: Unequal Protection: The Racial Divide in
Environmental Law. Nat'l L.J., Sept. 21, 1992; Robert D. Billiard, Unequal Protection: Environmental
Justice & Communities of Color. 1994
24 Somini Sengupta, A Sick Tribe and a Dump as a Neighbor. The New York Times, April 7, 2001.
26 Alex Bamum, Environmental Study Disputes the Belief That Rules Cost Jobs and Stifle the Economy,
The San Francisco Chronicle, March 19,1996.
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transportation and utility industries.27 Research by the Institute for Southern Studies
ranking state economic performance with environmental measures has consistently found
that the states that work to promote a healthy environment have sound economies.28
A third premise supporting the concept of pollution prevention as a way of improving
advancing environmental justice and environmental quality is acknowledging the
importance of enforcement. Enforcement is not a substitute for pollution prevention nor
is pollution prevention a substitute for enforcement. Enforcement is necessary in the
absence of compliance and often involves the imposition of fines or penalties intended to
have a deterrent effect. Inadequate fines fail to achieve deterrence and lead to the
conclusion that fines and penalties are a cost of doing business that can be absorbed.
Anecdotal evidence from the U.S. Department of Justice indicates that certain
environmental programs which lack strong criminal sanctions (such as the mobile source
requirements under the Clean Air Act) often have high rates of violation, suggesting that
criminal sanctions create a deterrent effect.30
Pollution prevention must start from a baseline of compliance with existing local, state,
Tribal and Federal environmental laws and better enforcement when needed. Increasing
fines and penalties in the case of flagrant violations of environmental law is a mechanism
available to reduce pollution and should be used when warranted. Pollution prevention
should also include fully implementing the Pollution Prevention Act by identifying the
opportunities in existing federal environmental laws for more fully incorporating
pollution prevention.
A forth premise for implementing pollution prevention to achieve environmental justice
affirms the relationship between pollution prevention and sustainable community
development. A multifaceted approach to building grassroots capacity for pollution
prevention strategizing and project implementation begins with a vision for a strong,
healthy and sustainable community. Community development organizations must
include pollution prevention as a requirement for community planning and project
development. Planning for a thriving, productive, healthy community is a proactive
approach to restoring communities and safeguarding them from future damage.
A fifth premise for incorporating pollution prevention as an environmental justice
strategy is the recognition that pollution prevention measures must address the needs of
special populations. Children, the elderly, individuals with compromised immune
27 Id.
28 Mark Douglas Whitaker, Green and Gold 2000. Institute for Southern Studies, November 2000,
www.southernstudies.org
29 Sharon Begley and Bob Cohn, One Deal That Was Too Good for Exxon. Newsweek, May 6,1991.
30 Suellen Keiner, Esq., Forum on Deterence of Environmental Violations and Environmental Crime.
Environmental Law Institute, July 1999
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systems, women of child-bearing ages and other susceptible populations must be
considered when developing measures to reduce pollution. Cumulative impacts must
also be addressed.
In order to make a significant difference in environmental quality a final premise is that
opportunities and areas for incorporating pollution prevention to advance environmental
justice currently exist. These are areas where pollution prevention can make a huge
difference now in the lives of low-income communities and communities of color.
AREAS WHERE POLLUTION PREVENTION CAN IMPROVE
ENVIRONMENTAL QUALITY
Pollution prevention technologies can reduce the impacts of fugitive emissions from
stationary sources. Integrated pest management can reduce health and other pollution
impacts to farmworkers from pesticides and agricultural chemicals using source
reduction, process changes and product substitution. Dry cleaners, printers and metal
shops have all been involved in pollution prevention measures that involved source
reduction, product substitution and production or process changes. Auto repair facilities
have been successfully involved in a number of pollution prevention initiatives to reduce
exposures through best management practices.
In the beauty care field, beauticians and customers in a Boston community concerned
about toxic exposure to chemicals in hairdressing solons focusing on hair straighteners
and artificial nails products came up with an idea for healthy hair shows using
environmentally sound hair using nontoxic hair care products. A Massachusetts beauty
school developed a curriculum for teachers and students to identify chemical hazards,
choose less toxic alternatives and incorporate pollution prevention including source
reduction into their daily practices.31 In the service field janitors and other service
workers can benefit from pollution prevention by reducing exposure and toxicity in the
cleaning products they use.32 The California Basket Weavers Association is working to
preserve traditional California Indian basketweaving culture by pressuring the Forest
Service to reduce pesticide use on forestlands.33 Transportation impacts from emissions
of diesel fuel by trucks, buses and other vehicles affect most urban communities in the
United States. Transportation impacts can be reduced through the use of alternative fuels
and cleaner technologies.34
31 Massachusetts Toxic Use Reduction Institute, Community Toxic Use Reduction Program, Community
Education Program, Health and Beauty Go Hand in Hand: TUR in the Putnam Vocational Cosmetology
Department and Healthy Hair Campaign to Reduce the Use of Toxics in Neighbprhood Hari Salons.C20011
available at http://208.56.92.121/communitv/smallbusiness/health hair.shtml. Interview with Ken Gieser.
32 Inform, Cleaning for Health: Products and Practices for a Safer Indoor Environment (2002)
j3 California Basket Weavers Association, P.O. Box 2397, Nevada City, California 95959 (2000).
34 National Alternative Fuels Day and Environmental Summit, Summary of Outcomes and
Recommendations, Hostos Community College, Bronx, New York (April 2002).
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For larger industrial manufacturing facilities toxic pollutants raise concerns because
sources of emissions and people are concentrated in the same geographic area, leading to
large numbers of people exposed to the emissions of many hazardous air pollutants.
Emissions from older facilities, especially coal-burning power plants, are especially
troublesome as they contribute tons of pollutants annually and are either not bound by
regulations, or those regulations are not being enforced. In order to maintain standard of
living while protecting human health and the environment, fundamental changes are
required in the area of product and process substitution, focusing on the design of
chemical products and processes that reduce or eliminate the use and generation of
hazardous substances. Human health and environmental benefits can be realized by
designing toxicity and hazard out of the chemical manufacturing process. Pollution
prevention should target local sources with effective solutions. The potential through
these efforts is enormous. More than 113 million lbs/yr (56,500 tons/yr) of hazardous
chemicals and more than 152 million lbs (76,000 tons to date) of solvents have been
eliminated through Green Chemistry initiatives. This includes elimination of CFC and
VOC solvents as well as persistent, toxic, and bioaccumulative (PBT) chemicals. These
programs have also saved 55 million gallons/yr of water, saved 88.9 trillion BTU/yr of
energy, and eliminated 57 million lbs/yr of carbon dioxide emissions.35 Recycling and
reuse initiatives should also not be downplayed. Though not defined as pollution
prevention in EPA's definition, nevertheless these activities have reduced amount of
waste in landfills and promoted programs where the entire community participated.
There have been a variety of initiatives to promote product and process substitution in
low-income communities and communities of color. Programs involving waste
minimization, recycling, reuse and sustainable development are all classic examples of
how pollution prevention can be used in environmental justice communities to bring
about positive change. These are just a few of the areas where pollution prevention can
advance environmental justice but many other opportunities to implement pollution
prevention exist and the ways that pollution prevention can be helpful are only limited by
the imagination.
CAPACITY-BUILDING FOR EFFECTIVE COMMUNITY PARTICIPATION IN
POLLUTION PREVENTION
Building community capacity to improve incorporation of pollution prevention activities,
tools and activities into community advocacy strategies requires a concerted effort.
Communities must be included at the outset in government and local facilities pollution
prevention planning activities in order to help identify priorities and measure progress. In
order for communities to participate affectively and on a level playing field, resource and
training needs must be addressed. Communities must have adequate information with
35 Mary Kirchhoff, The Green Chemistry Institute.
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respect to permit limitations and permit noncompliance, emissions, discharges, accidental
releases, on site treatment, storage and disposal, to name a few. Government and
industry in order to facilitate cooperation and build trust should freely share this
information. Despite recent trends to reduce environmental information available on
EPA's website and from regulatory agencies, security concerns must be balanced with
the need for communities to know what toxins are present in their environment in order
for communities to assist in the development of effective strategies to reduce exposures.
In order for communities to participate in pollution prevention activities, there must be
adequate and sustained funding from public and private sources to support their efforts.
There should also be funding, tax incentives or subsidies to develop clean production
technologies and to directly support community-driven environmental justice, pollution
prevention and sustainable development projects. Educational materials suitable for the
layman must be developed and comprehensive educational training initiatives should be
undertaken. Community participation must be valued and that value should be
demonstrated with support and respect for their involvement. Governmental technical
assistance and resources to enable communities to hire independent technical assistance
is also necessary to build the capacity of communities to effectively participate in
advancing pollution prevention as an environmental justice tool.
COMMUNITY RECOMMENDATIONS
There are many opportunities in existing environmental laws to incorporate pollution
prevention. The Pollution Prevention Act mandates the development and implementation
of strategies to promote source reduction. Other federal environmental statutes also
require pollution prevention activities, offer opportunities to incorporate pollution
prevention into permits or include resource conservation directives. The current EPA
Administrator has committed to integrating environmental justice into existing
environmental statutes. This provides a statutory opportunity to employ pollution
prevention approaches in environmental justice communities. In addition to these
opportunities, the community stakeholder representatives has the following
recommendations:
1. Community involvement is the bedrock to any pollution prevention strategy in
impacted communities. Models for engaging the public in order to maximize
their involvement are crucial in ensuring that the community will be engaged.
2. A collection of case studies with viable examples featuring community
participation and community driven pollution prevention collaborations would be
useful as an example of successful pollution prevention partnerships. A
clearinghouse with the case studies could be placed on a website and a toolkit
could be developed and provided to local governments and community
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organizations detailing the steps to an effective community involvement process
in pollution prevention projects.
3. The Environmental Justice and Pollution Prevention Grants should be made
available again. Successful projects developed through that program should
receive sustained funding and expanded to other environmental justice
communities, thereby building on the success.
4. Pollution prevention resources and funds should be directed primarily at impacted
communities and their selected representatives which are addressing
environmental justice and pollution prevention issues, not other external bodies
such as organizations set up by polluters.
5. Increase community awareness. Diesel education project were effective in terms
of level of awareness. Dry cleaner project raised awareness.
6. A national disease registry, beyond cancer, of diseases associated with chemical
releases should be established. This registry should monitor disease associated
with chemicals being released should exposure occur and develop innovative
responses to reduce it. Most states have cancer registries or lead poisoning
registries and several states have legislation calling for epidemiological research
into the prevention of environmentally related diseases. Disease registries and
especially lead poisoning registries have resulted in reductions of lead exposures
to children as areas of disproportionate lead exposure are identified.
7.The environmental justice community strongly recommends that the
precautionary principle be incorporated in environmental decision-making and the
development of environmental regulations, policy and programs particularly in
over-burdened communities (exposure to cumulative and synergistic affects).
8. Incentives should be developed that encourage businesses to employ a
precautionary approach in their production processes.
9. A variety of improved enforcement mechanisms can serve as effective pollution
prevention tools in appropriate cases including increased use of Supplemental
Environmental Projects that focus on pollution prevention.
10. Fines and penalties imposed for noncompliance should be set aside to fund
environmental initiatives for the burdened community. There is precedent for this
and it serves as a way to assure that local benefits result from the imposition of
fines.
11. Better oversight by EPA and review of delegated programs should be employed to
improve enforcement measures in cases of environmental protection failures. At
the same time, governmental efficiency can be improved by streamlining
bureaucracy unless public health or the environment is imperiled.
12. Brownfield projects should focus on green building, green business and green
industry incubation models.
13. Restoration of on and off-site areas impacted by pollution should be accomplished
using sustainable remediation practices such as photo-remediation.
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14. Where cumulative impacts are apparent, a pollution reduction plan should be
developed with the help of the federal government and should be memorialized in
an enforceable agreement even if the surrounding facilities operate within the
legal limits. The federal agency should also provide resources to the local
government to assist in the plan.
15. Small businesses and entrepreneurial enterprises should receive technical
assistance and support if they are willing to incorporate pollution prevention in
their business philosophy and practices. Communities that are heavily
industrialized are in a position to gain tremendous environmental benefits by
receiving this type of stimulation for small businesses.
16. Pollution prevention activities should support and promote renewable energy
options for small businesses and communities.
17. Additional support for alternative fuel projects should be focused in impacted
communities.
18. In areas where Clear Skies projections indicate that non-attainment for ozone will
exist for the foreseeable future, aggressive pollution prevention conditions should
be imposed in new and renewal air permits.
19. There is an effort to bring back old power plants in communities of color. Convert
dirty power plants to new clean/green ones and use clean air alternatives. If
plants cannot be converted, they should be shut down.
20. Pollution prevention should be used as a proactive opportunity to advance
environmental stewardship values in impacted communities.
21. Pollution prevention should focus on reducing the number of chemicals and
minimization of persistent, bioaccumulative, toxic (PBT) chemicals.
22. Reduce amounts of pesticides used and increase research on and support models
for sustainable agriculture (organic).
23. Funds should actually get to grass roots organizations and not organizations set up
by polluters. Organizations with exemplary records should get the funds.
24. Performance track award criteria should include environmental justice measures.
25. Build a pollution prevention assessment model that is holistic. This model will
educate communities and provide assessment capabilities by making linkages
between the environmental issue and the social / developmental issue. For
example, air quality and the associated respiratory problem for seniors in the
community was helpful. Linking lead poisoning to birth defects helped get
expected mothers involved. Ties to religion and a responsibility to environmental
justice also helped get the church involved.
26. Move from diesel and get buses converted to natural gases and three-minute
idling law.
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CONCLUSION
Pollution prevention, as defined by the act, incorporates protection of public health and
the environment, including protecting environmental resources for subsequent
generations, as key values. These are also key values of the environmental justice
movement. Pollution prevention provides a unique opportunity for communities,
business and government to work together in a non-confrontational way to achieve some
joint aims. Communities' are in support of providing resources for the development and
implementation of clean technologies to business. Businesses support the concept of
reducing the impact of their activities on surrounding communities. Government
supports the reduction of pollution impacts on public health and the environment. These
shared values offer the potential for the stakeholders to work collaboratively in a way that
may not have been available to them previously, to develop innovative strategies that
meet their interests that do not require enforcement, to build trust and improve
communications in their relationships, and to work together towards the goal of achieving
environmental justice.
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Chapter 4: Tribal Perspectives
This chapter was authored by members of the Tribal Stakeholder group to elaborate on
the views of the members of that group, not necessarily reflect the views of members of
other stakeholder groups or of the NEJAC Executive Council.
THE LEGAL STATUS AND RIGHTS OF TRIBES
For tribes pollution prevention concerns and possible approaches for implementing
pollution prevention must be considered in the complex context of the unique position of
tribes in American society. American Indian and Alaska Native Tribes are sovereign
governments recognized as self-governing under federal law. As such they are entitled to
make and enforce laws on their lands and to create governmental entities such as courts.
In addition, the federal government has a trust responsibility to tribes whereby the federal
government has charged itself with moral obligations to tribes of a fiduciary nature
requiring it to ensure the protection of tribal interests.1 This trust responsibility is
predicated, in part, upon more than 400 treaties through which tribes ceded vast portions
of their aboriginal lands in exchange for the federal government's solemn promise to
protect the rights of tribes to exist as self-governing nations." The trust responsibility is
also based on acts of Congress, Executive Orders and federal court decisions.3 The trust
doctrine reflects the fact that the federal government holds legal title to most Indian land
in trust for the tribes (or for individual Indian landowners) and, consequently, has the
duties of a trustee to manage natural resources for the benefit of tribes. The trust doctrine
also includes the responsibility to protect and support tribal sovereignty.4 The
relationship between the United States and tribes is often described as "government-to-
government," which reflects the fact that tribes are sovereigns. This relationship is
different from the relationship between the federal government and the states, in part
because of the federal trust responsibility to the tribes.
The status of Alaska Native tribes is different from those in the "lower forty-eight"
because, with one exception, Alaska Native tribes do not have "reservations" and the
federal government does not hold their lands in trust.5 The federal government
nevertheless has a trust responsibility to these tribes as well, and they are recognized as
possessing some aspects of sovereignty.
1 National Environmental Justice Advisory Council, Indigenous Peoples Subcommittee, Guide on
Consultation and Collaboration with Indian Tribal Governments and The Public Participation of Indigenous
Groups and Tribal Members in Environmental Decision Making. November 2000
2 Id. at p. 9.
3 See generally FELEX.S. COHEN, HANDBOOK OF FEDERAL INDIAN Law 220-228 (1982 ed.)
4 25 U.S.C. §3601 (recognizing that "the United States has a trust responsibility to each tribal government
that includes the protection of the sovereignty of each tribal government").
5 See generally Cohen, supra note 3, at 739-70.
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The federal government has not always lived up to its obligations to Indian tribes. In
contemporary America, many Indian tribes live with the legacy of the "allotment" era of
1887 to 1934, when federal laws sought to force Indian people to give up their tribal
ways of life and become assimilated into the mainstream of American society. During
the allotment era, the federal government forcibly took commonly owned lands from
many tribes, allotted these lands to individual tribal members (generally to encourage
farming), and invited non-Indians to settle on the so-called "surplus" lands.6 Congress
repudiated the policies of the allotment era in 1934, but the legacy is that many
reservations have substantial populations of non-Indians, many of whom are landowners.
In the last quarter century, although Congress and the Executive Branch have consistently
supported tribal self-government, the Supreme Court has imposed new limits on the
sovereign powers of tribal governments, in effect resurrecting the repudiated policies of
the allotment era.7
Some indigenous communities are not currently recognized as sovereigns by the federal
government, but such communities may nonetheless have environmental or public health
concerns that are different from other groups or the general public due to a subsistence
lifestyle or unique cultural practices.8 As citizens of the United States, indigenous
groups or organizations and individual members of recognized tribes also have the rights
to environmental and public health protection from federal agencies available to other
citizens.9
Federal agencies must interact with tribes in a manner consistent with their sovereign
status and rights under federal law. To accomplish this aim, the Environmental
Protection Agency has adopted a formal policy statement governing its relationship with
tribes and the implementation of its programs on Indian reservations.10 EPA's policy
states that EPA will incorporate Indian Policy goals into its planning and management
activities including, among other things, its budget, legislative initiatives and
management accountability system.11 Beginning in 1986, several of the major federal
environmental statutes have been amended to authorize EPA to treat tribes like states for
See generally Id. at 127-39.
7
See generally David H. Getches, Conquering the Cultural Frontier: The New Subjectivism of the
Supreme Court in Indian Law, 84 Cal. L. REV. 1573 (1996); Philip P. Frickey, A Common Law for Our
Age of Colonialism: The Judicial Divestiture of Indian Tribal Authority Over Nonmembers, 109 Yale L.
J. 1 (1999).
8 National Environmental Justice Advisory Council, Indigenous Peoples Subcommittee, Guide on
Consultation and Collaboration with Indian Tribal Governments and The Public Participation of Indigenous
Groups and Tribal Members in Environmental Decision Making. November 2000 at p. 10.
9 Id.
10 Environmental Protection Agency, American Indian Environmental Office, EPA Policy for the
Administration of Environmental Programs on Indian Reservations, 1984, www.epa.gov/indian/1984.htm.
"Id
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various purposes, and EPA has issued numerous sets of regulations to carry out these
statutory amendments. Many tribes have made substantial progress in developing
environmental regulatory programs pursuant to federal law, but many obstacles have
proven difficult to overcome. Some obstacles are matters of funding and other kinds of
assistance; other obstacles have to do with challenges to the exercise of tribal sovereign
powers. The result is that in much of Indian the environmental regulatory infrastructure
is simply not comparable to that in most of America.
TRIBAL POLLUTION CONCERNS THAT CAN BE ADDRESSED BY
POLLUTION PREVENTION
Tribal pollution prevention concerns can be categorized by a variety of owner-operator
interests. Pollution may be generated by nongovernmental entities, by tribal members, by
nonmember Indians, by non-Indians, by corporate and business entities and by small
businesses that may be tribal operating on tribal trust lands, on individually-owned Indian
trust lands, or on private lands within reservation boundaries.
The tribal entities with the authority to address these pollution prevention concerns
include the legislative and executive branches of tribal governments, tribal government
agencies and departments and tribal business enterprises. Federal agencies, acting in a
manner consistent with their trust responsibilities, also have the authority to implement
pollution prevention measures in the context of their land management or financial
assistance roles. These agencies include^ the Bureau of Indian Affairs, the National Park
Service, the Fish and Wildlife Service, and the Indian Health Service, Department
Housing Development, and the Administration for Native Americans. Some agencies
manage lands outside reservation boundaries (and in some cases within reservation
boundaries) where pollution prevention measures could benefit reservation environments
or off-reservation resources in which tribes have treaty or statutory rights or other
interests. Such agencies include the Bureau of Land Management, the National Park
Service, Fish and Wildlife Service, Forest Service, and the Department of Defense. Each
agency responsible for generating pollution on Indian lands, or affecting off-reservation
resources of importance to tribes, should have a fully funded viable pollution prevention
program in place that was developed in consultation with tribes.
State and local agencies including municipalities also have the ability to address pollution
concerns through pollution prevention measures in consultation with tribes. Nonfederal
projects on tribal lands that are permitted or funded cause additional pollution impacts.
Pollution concerns of some tribes, particularly those with reservations near international
boundaries, may also be addressed by entities that have transboundary authority such as
the International Joint Commission which oversees water quantity and quality in the
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rivers and lakes that lie along or flow across the United States-Canada Border,12 the
Commission for Environmental Cooperation which studies and makes recommendations
on the long range transport of air pollution, the International Air Quality Advisory
Board,13 the United Nations Economic Commission for Europe,14 Environment Canada
or Partners in Flight which oversees populations of migratory birds and others.
There are wide ranges of pollution generating activities that take place on tribal lands and
each activity creates different adverse environmental impacts. These activities include
mineral extraction, agriculture, forestry, waste disposal, and storage and processing
activities, industrial plants, schools, federal and tribal governmental facilities and
infrastructure and Department of Defense facilities.
These activities result in numerous adverse environmental impacts. For example mineral
extraction is extremely damaging and causes air, water and soil pollution. Agriculture
and forestry causes soil and water pollution and results in habitat loss and loss of
biodiversity, wildlife and marine life. Waste storage, disposal and processing may cause
air, soil and water pollution. Operation of industrial plants, schools, and federal and
tribal governmental facilities may result in air, water and soil pollution as well as impacts
upon cultural resources, cultural practices and sacred sites. Finally Department of
Defense facilities have had devastating pollution impacts on tribal lands including
impacts on air, water and soil. All of these polluting activities can have adverse impacts
on historical resources. All of these activities have adverse impacts on human
environmental and ecological health.
In many ways, environmental health impacts on tribal lands are similar to health impacts
for other low-income communities and communities of color. These health impacts
include asthma, diabetes, hypertension, thyroid disorders, cancer and leukemia. Some
impacts may be different, for example because of higher levels of fish consumption or
because of other kinds of cultural practices that are rooted in the environment. Impacts
may also be different because impacts on culturally important environmental resources
may be manifested in psychological suffering in people.
Issues of geography affect pollution concerns of tribes. These are impacts on the
reservations from sources on tribal lands, impacts on tribal lands or cross boundary
impacts from sources off the reservations and pollution that occurs outside of the
reservations that have impacts on off reservation resources.
12 Canadian Department of Foreign Affairs and International Trade, The Environment Has No Borders,
Water Quality/Quantity, www.can-am.gc.ca/menu-e.asp?mid+l&cat=l 1.
13 International Air Quality Advisory Board, Special Report on Transboundary Air Quality Issues,
November 1998, www.ijc.org/boards/iaqab/spectrans/chap7.html.
14 Id.
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There are also pollution prevention issues that are peculiar to tribes. One of these issues
is structural inequity in the enforcement of environmental laws.
Environmental law is carried out through "cooperative federalism" between the federal
government and the states, and Indian reservations were left out of this cooperation
during the first two decades that state programs were being developed. Inadequate
funding for tribal programs is considered by many to be an environmental justice issue
and an impediment to effective consultation with tribes due to the limited capacity of
many tribal environmental programs.15 Inequity in technical assistance and federal grant
support for tribal environmental and pollution prevention development and
implementation in comparison to states is an important environmental and pollution
prevention issue for tribes.
Pollution exposures and the need for pollution prevention may be greater for some
reservation communities due to the nature of polluting activities that occur on tribal
lands. On some reservations, there is a higher level of natural resource development that
occurs within tribal lands. These activities include mining, and oil and gas extraction and
refining. Many tribes, including many Alaska Native tribes, are also adversely affected
by polluting activities beyond the reach of their territorial jurisdiction.
In the case of facilities owned or managed by tribal governments that are not in
compliance with federal environmental statutes, EPA will not take direct action through
judicial or administrative process unless EPA determines that there is a significant threat
to human health or the environment, EPA action could be expected to achieve effective
results in a timely manner, and the federal government cannot utilize other alternatives to
correct the problem in a timely fashion.16 In cases where facilities are owned or managed
by private parties with no substantial tribal interest or control, the agency will endeavor
to work in cooperation with the affected tribal government but will otherwise respond to
noncompliance by private parties on Indian reservations as the agency would to
noncompliance by the private sector elsewhere in the country.17 Another issue that
effects pollution prevention for tribes is limits on tribal sovereignty imposed by the
• 18
United States Supreme Court. According to holdings of the Supreme Court, tribal
sovereignty is not absolute; rather, aspects of the original sovereignty of the tribes may
have been given up in a treaty, taken away by Congress or divested by implication as a
result of their dependent status.19 As a result, the authority to undertake pollution
prevention measures may be subject to limits that are not imposed on other governments.
15 EPA Policy for the Administration of Environmental Programs on Indian Reservations, supra note 10.
16 Id.
17 Guide, supra note 1 at p. 7.
18 Id.
19
See generallv.Getches and Frickey, supra note 7.
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From the perspective of tribes, the limitations of conventional risk assessment methods
are another issue unique to tribes. Tribal cultural and spiritual values are not adequately
considered in traditional risk assessment processes. Accordingly, many tribes, and the
environmental professionals who work for them regard risk assessment as a tool that has
little value.
POSSIBLE APPROACHES FOR IMPLEMENTING POLLUTION PREVENTION
IN AND NEAR TRIBAL LANDS
Governmental action is a key component necessary for implementing effective pollution
prevention activities for tribes.
In keeping with its Indian policy and the trust responsibility, EPA should take steps, in
consultation with tribes, to fill the enforcement gaps in Indian country and Native Alaska.
The expanded use of Direct Implementation of Tribal Cooperative Agreements
("DITCAs") is one approach. In addition, EPA, possibly in cooperation with other
federal agencies, could provide assistance to tribes for the development of Tribal
Environmental Policy Acts ("TEPAs") that include pollution prevention requirements.
Land use planning under tribal law to promote pollution prevention is another approach
to advance pollution prevention activities on tribal lands. This could include promoting
walkable neighborhoods, incorporating smart growth principles, using geographic
information system technologies to assist in land use analysis and planning and including
tribal departments involved in planning activities such as tribal housing authorities.
Supreme Court case law, however, renders it difficult for tribes to implement
comprehensive land use planning on lands that are not held in federal trust status.
The precautionary principle is an important pollution prevention measure, and many
people have noted that this principle is generally consistent with tribal cultural values.
Tribal laws that stress the precautionary principle could advance pollution prevention on
tribal lands as issues of uncertainty are resolved in favor of protection of public health,
the environment and concern for the seventh generation.
Pollution prevention education programs are also needed to advance pollution prevention
in and near tribal lands. This includes education programs for tribal officials and staff
and for the general public on the reservations, for small businesses, for farmers, and for
youth. Development and implementation of environmental programs requires increases
in federal support for technical assistance, funding for development and implementation
of tribal pollution prevention programs and tribal environmental program infrastructure.
For pollution prevention to be effective it must be supported at the highest levels of
government. This means that for tribes there must also be pollution prevention leadership
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development and training provided to tribal leaders, and included in tribal programs such
as to the tribal natural resources, environment, housing, education, economic
development and planning departments and to members of the tribal public.
Tribal governments may be able to show leadership in developing and supporting
initiatives in pollution prevention for small businesses and industries operating within
reservation boundaries. Similarly, when facilities are operating outside of reservation
boundaries but causing cross-boundary impacts, or causing impact of off-reservation
resources of importance to tribes, tribal governments could pursue the development of
memorandum of understandings ("MOU") with adjoining governmental entities such as
states or municipalities. Such MOUs might also be generally helpful in addressing
pollution prevention issues and implementing pollution prevention programs.
Actions by the federal government would also be extremely useful in advancing pollution
prevention in and near tribal lands. The federal government should undertake outreach to
tribes to assure that they are included in technical assistance to nonfederal governments.
EPA and other federal agencies should also devote more attention and resources to their
consultations with tribes in the context of proposed actions that are subject to the
National Environmental Policy Act or National Historic Preservation Act, for actions that
would result in affects within reservation boundaries, on no-reservation tribal
communities, and on off-reservation resources of importance to tribes.
In order to advance pollution prevention on tribal lands, federal agencies should provide
increased and sustained support for technical assistance and funding for pollution
prevention and tribal environmental program development and implementation. The
federal government should provide support for pollution prevention leadership
development and training to elected tribal leaders and to tribal programs. Support from
the federal government should be available to incorporate pollution prevention into the
operations of tribal natural resource, environment, housing, education, economic
development and planning departments. There should also be federal support provided
for pollution prevention training provided to members of the tribal public and non-Indian
residents of tribal lands. Federal agencies should assist in supporting tribal government
initiatives in pollution prevention for small businesses and industries operating on tribal
lands. Resources in the form of grants should be made available to schools, community-
based tribal organizations and non-governmental entities for pollution prevention
initiatives and activities.
State and local governments should be encouraged to work collaboratively with tribal
governments and entities to implement pollution prevention activities within or near
reservations and other tribal communities. State and local governments should identify
potentially concerned tribal governments in the initial stages of any state or local
initiatives involving pollution prevention and seek to engage such tribes in consultation
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and collaboration. When such efforts result in genuine collaboration, states and local
governments should enter into cooperative agreements with tribes such as MOUs, MOA
and other contractual agreements, in order to seal such agreements.
In recognition of the cultural values of tribes, states and local governments should
endeavor to incorporate the precautionary principle into any initiatives that affect
resources that are important to tribes. Similarly, educational programs involving
pollution prevention developed and implemented by states and local governments should
include outreach to and participation from tribal governments, departments, and schools,
as well as community-based organizations and other nongovernmental entities.
Finally, nongovernmental entities operating on or near tribal lands should engage in best
practices designed to reduce, to the greatest extent possible, adverse environmental and
public health impacts on those lands. The same should apply to resources. Such entities
should consider voluntarily agree to comply with tribal laws respecting pollution and
memorialize those agreements in writing.
Respect for the sovereignty, values, history and cultural practices of American Indian and
Alaska Native Tribes and the laws, treaties, policies and Executive Orders governing
relationships with the tribes is instrumental for reducing pollution on or near tribal
resources.
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CHAPTER 5: Business & Industry
Perspectives
This chapter was authored by members of the Business and Industry Stakeholder group
to elaborate on the views of the members of that group, not necessarily reflect the views
of members of other stakeholder groups or of the NEJAC Executive Council.
INTRODUCTION
Business and industry's perspectives on pollution prevention have several premises in
common with other stakeholders. First, business agrees that the term is broad and can
usefully encompass a variety of practices that may result in improved environmental
performance. Second, the term represents environmental protection that at least meets or
may exceed the baseline represented by traditional command and control environmental
regulatory requirements. Pollution prevention activities encompass means to achieve
numerical performance goals more reliably and efficiently; reductions in emissions
beyond regulatory targets; holistic approaches to environmental quality (e.g., reducing
pollutants that may not have current regulatory standards), and methods to promote
sustainable use of resources. Pollution prevention frequently involves all levels of the
business organization in designing approaches to minimize the impact of operations on
human health and the environment. Finally, the term "pollution prevention" assumes
communication and collaborative engagement with the members of the public.
In other respects, business and industry's positions on pollution prevention may differ
from those of other stakeholders, or even individual members of other stakeholder
groups. Operating under the premise that "the perfect is often the enemy of the good,"
the business community in general does not hold successful pollution prevention efforts
to the criteria that they eliminate pollution, only that they reduce environmental and
health impacts below the baseline of applicable regulatory standards. Although some
companies have committed publicly to a zero emissions goal, for even those companies
that goal is targeted for some time in the future. Moreover, it is fair to say that the
majority of the business community does not consider a zero-emissions goal practical, or
even feasible. The majority of companies believe that it is the express obligation of
government-based environmental and health programs to assure that the levels of
pollution allowable under regulatory programs protect, consistent with sound science and
with an adequate margin of safety, all members of the community and the environment as
a whole. For the majority of companies, some level of risk is perceived to be inherent in
all human activities; the issue is whether this risk is reasonable and consistent with good
health and environmental quality.
Despite their divergent perspectives, stakeholder groups may be able to forge sufficient
agreement on areas of implementation of pollution prevention to improve meaningfully
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environmental conditions within communities. Depending on the regulatory, public
relations, economic and other incentives, businesses may devote resources toward
invention, innovation or adoption of new technologies that can reduce or eliminate
pollution and save costs, or alternatively utilize well-established but less innovative
techniques to satisfy rigid regulatory prescriptions. If communities can be assured that
affording increased flexibility to businesses will yield enhanced environmental
performance, particularly in the aspects of most concern to community members,
pollution prevention may produce tangible benefits for both businesses and communities.
Business statements on pollution prevention make clear that, for the most part, such
efforts, if they are to be sustainable and effective, must be voluntary rather than
prescribed by regulation. In 1998, The Business Roundtable published a benchmarking
study of pollution prevention planning among the Fortune 250 companies the association
represents, and three conclusions were drawn:
• Pollution prevention planning will be important for years to come.
• Pollution prevention planning should be tailored to an organization's unique
needs and circumstances - wherever possible, integrated into core business
activities.
• Pollution prevention planning practices do not lend themselves to a "one size fits
all" approach. Mandates can be beneficial in some circumstances but are
detrimental in others.
"A Benchmarking Study of Pollution Prevention Planning: Best Practices, Issues, and
Implications for Public Policy" (August 1998).
The third bullet is worth explaining. In the study, the Roundtable found that state-level
pollution planning requirements were useful in giving a planning framework for
companies unfamiliar with pollution prevention. For companies already participating in
pollution reduction planning, however, these state-mandated paperwork requirements
were duplicative of company practices and in some cases actually discouraged
innovation, development of substantial new initiatives, and integration of pollution
prevention planning into core business strategy. In effect, pollution prevention required
by regulation became a paperwork exercise relegated to environmental, health and safety
managers rather than an element of senior management's strategic design and operating
plans. A well-designed government program would provide planning, education and
assistance to less sophisticated companies while affording all companies the flexibility to
implement pollution prevention strategies in innovative ways best suited to their
organizations and cultures.
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Business and industry's pollution prevention efforts routinely include public participation
elements intended to communicate to the general public and to communities in which
they operate company initiatives to improve environmental quality. For example,
pollution prevention efforts undertaken under EPA's Common Sense Initiative and
Project XL include substantial dialogue and collaboration among facilities, regulators and
community members on how changes to operations can reduce pollution while avoiding
particular regulatory impediments. Precise and extensive public reporting of pollution
prevention initiatives are part of the corporate environmental reports advocated by such
groups as the Conference Board, the Global Environmental Management Initiative
(GEMI), and the United Nations Environmental Program's (UNEP) Sustainability
projects, as well as industry pollution prevention initiatives such as the chemical
industry's 33/50 program. Brownfield projects, which by their nature voluntarily reduce
pollution by remediating and reusing formerly impacted properties, routinely incorporate
dialogue with neighboring community members to identify their goals for site response
and reuse, whether these projects are coordinated by EPA, states or performed
independently under the ASTM standard for brownfields.
The business literature on pollution prevention thus far has not focused on the
opportunity to address environmental concerns in environmental justice communities in
particular, but this focus could be a natural one. The broad-based organization called the
Business Network for Environmental Justice, for example, was formed to engage
constructively on means by which business and industry can successfully respond to
environmental justice community concerns. Many existing environmental projects,
although not developed with environmental justice in mind, actually provide benefits to
communities of color and low-income populations. What has been lacking - and this
report can begin to provide - is education on the ways in which targeted pollution
prevention efforts can address the environmental quality concerns of environmental
justice communities. To accompany this educational effort and to the extent resources
and opportunities are available, it would be particularly important to create tangible
incentives for business and industry to direct their pollution prevention efforts to such
communities.
Many groups can participate in this education and response effort. For example, EPA
and state-level pollution prevention programs and outreach efforts could target
environmental justice communities in their literature, as part of their discussions with
facilities in permitting and other proceedings, in their standard-setting activities and as
part of their technical support in compliance assistance efforts. Groups supporting
corporate environmental reporting (GEMI, the Conference Board, UNEP, ISO) could
encourage separate line-item reporting on pollution prevention in environmental justice
communities. Industry sectors with extensive community outreach programs like the
chemical industry's Responsible Care and other "good neighbor" policies could focus on
pollution prevention initiatives for environmental justice communities. They also could
make consideration of the affected populations an element of audits and other
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environmental management techniques. Brownfields redevelopments could be tracked to
identify where these efforts have lead to pollution reduction in environmental justice
communities and brownfields grants targeted to these communities. Pollution prevention
techniques could be considered in lieu of potentially less reliable end-of-pipe controls as
means of satisfying performance standards. Most effectively, regulatory and economic
incentives and public recognition opportunities could be created to incentivize pollution
prevention initiatives in environmental justice communities. EPA appropriations, or
regulatory reform and streamlining efforts, could specifically reward business and
industry voluntarily reducing pollution, conserving energy or using cleaner renewable
energy sources, or using cleaner technology in environmental justice communities.
The following chapter attempts to lay the groundwork for the education and response
outlined in the previous paragraph by describing an array of current business and industry
efforts to prevent pollution. The chapter then suggests the resources, incentives and
capacity building that should be undertaken to foster greater pollution prevention in
environmental justice communities. Note that although this chapter focuses on efforts by
business and industry, the projects, opportunities and expectations should be the same for
comparable facilities operated by federal, state or local governments. Fueling stations
owned by the Department of Defense or Interior, municipal waste trucks or disposal sites
owned by municipalities, publicly owned treatment works and all other public sector
facilities and activities owned or operated by the government organizations have equal
incentives and obligations to seek out opportunities to prevent pollution, particularly in
environmental justice communities. Likewise, non-profits such as educational
institutions, hospitals and other organizations should be encompassed within the
suggested pollution prevention approach.
This discussion focuses primarily on experiences by large and medium sized businesses,
in some part because the literature of pollution prevention is written primarily about
larger sources. Increasingly, focus is being placed on the continuing viability of small
and mid-sized manufacturers (SMMs). The 307,000 U.S. SMMs produce more than half
of the nation's manufacturing output and account for more than two-thirds of
employment in the manufacturing sector. SMMs have specific challenges with regard to
pollution prevention. The central issue should be how to induce SMMSs to invest in
pollution prevention approaches that ultimately result in higher levels of quality and
environmental performance and, in turn, lead to greater productivity and profit gain.
SMMs are often less integrated into large trade associations that are capable of
performing the research to develop pollution prevention techniques, and the competitive
atmosphere in which SMMs operate makes the cost of pollution prevention a significant
impediment. In many cases, the infrastructure for pollution prevention is particularly
challenged if the sources are not subject to environmental permitting requirements that
define a "safe" level of operations and create a baseline from which to identify pollution
prevention opportunities. Moreover, without being actively engaged with EPA, an SSM
is less likely to be informed of or adopt pollution prevention techniques or reach out to
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community members in a dialogue on environmental controls that a permitting process
naturally affords. This lack of infrastructure can be particularly significant in urban
environmental justice communities perceiving adverse cumulative impacts from
numerous small sources.
CURRENT BUSINESS AND INDUSTRY EFFORTS
This section will briefly summarize the array of voluntary activities currently being taken
by business and industry to prevent pollution. It is important to outline these activities in
the NEJAC report on pollution prevention and environmental justice because it will help
inform both community members and the broader business community about
opportunities to improve environmental quality in environmental justice communities.
Knowledge of existing success stories can inform future projects.
Regulatory opportunities for pollution prevention: The flexibility inherent in current
regulatory programs has provided the opportunity to explore means to reduce pollution to
a greater extent, and often more efficiently, than the usual command-and-control
requirements prescribe.
Multi-Media Approach
Members of the business community have participated in EPA pilot programs designed to
encourage pollution prevention activities. One such program, Project XL, promotes use
of techniques to attain environmental results superior to those mandated by current
regulations and policies at lower cost. The government offers the company flexibility in
meeting existing legal requirements in exchange for enhanced environmental
performance.43 The program mandates community and other stakeholder involvement
though various techniques which may include, among others, information dissemination,
public meetings and hearings, community advisory groups, public comment periods, and
consultation in conjunction with development of the final project agreement.
EPA and industry have implemented Project XL programs in a wide range of
circumstances. For example, Merck & Co. reduced air emission levels in Elkton,
Virginia by converting its coal-burning powerhouse to natural gas. Use of a cleaner
burning fuel enhanced visibility and reduced acid deposition in the local community and
a national park. In exchange, Merck received a site-wide emissions cap that allowed it to
43 The inefficiencies of regulating on a medium specific basis, especially utilizing command and control
techniques, are well known. For example, a study by EPA and Amoco at a petroleum refinery in
Yorktown, Virginia concluded that the existing cost to Amoco of S2400 per ton to reduce emissions could
have been lowered to $500 per ton if Amoco had been afforded some flexibility. See National Academy of
Public Administration, Setting Priorities, Getting Results: A New Direction for the Environmental
Protection Agency (1995). See also, a criticism of EPA's command and control approaches in Jonathan
Lash and David T. Buzzelli, Beyond Old-Style Regulation, J. Commerce & Commercial, Feb. 28, 1995.
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make changes at the facility without obtaining further regulatory approval as long as the
cap was not exceeded.
Likewise, after holding eight stakeholder meetings, Georgia-Pacific Corporation
instituted an equipment change under Project XL by replacing aging smelters at its
containerboard mill at Big Island, Virginia with a black liquor gasification system.
Gasification converts by-products from the wood pulping process into a clean burning
hydrogen fuel. The technology will be the first full scale gasification system used in the
pulp and paper industry. The new technology is designed to reduce air emissions by 90
percent, save energy and increase safety. In exchange, in the event the new technology
does not function as anticipated, Georgia-Pacific will be allowed to operate its smelters
without otherwise needed control modifications for a limited period of time to allow for
installation of a conventional recovery boiler.
Other XL projects are identified on EPA's website, www.epa.gov/project xl. Although
these projects have been largely successful in reducing pollution, the considerable
transactional costs to both industry and EPA of utilizing pilot programs to craft special
permits on a facility by facility basis weighs in favor of transferring the lessons learned
from the pilot project to standardized regulatory programs wherever possible.44 The need
also exists to provide greater capacity to small businesses to enable them to identify,
design and implement pollution prevention options.
Area Wide Approaches
Certain federal, state or local programs encourage planning to take place on an area-wide
basis. Businesses have cooperated with governmental authorities in engaging in area
wide planning, particularly in circumstances where multistakeholder cooperation can
facilitate environmental improvement.
Protecting stream quality and flows requires participation of various water users and
dischargers. For example, in stream segments where effluent limitations on point source
dischargers are not stringent enough to implement water quality standards, the state must
list those waters and establish a total maximum daily load. See 33 U.S.C. § 1313(d). The
load is allocated among point source and non-point source dischargers. Businesses
actively engage in negotiations to allocate the permissible load. Even absent the listing
of waters as impaired, businesses may engage in multistakeholders efforts to protect
resources within a watershed.
44 The Common Sense Initiative (a performance -based system focused on industry sections), the Sustained
Industry Project, and the Environmental Liability Program (testing the value of innovation in
environmental management systems) are other examples of efforts to explore alternatives to command and
control regulations.
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Similarly, under the Clean Air Act each State must adopt an implementation plan for the
implementation, maintenance and enforcement of national ambient air quality standards
in each air quality control region within the State. See 42 U.S.C. § 7410(a). This plan
necessarily contains trade-offs among groups with an area.45 Transit plans are frequently
challenged as not in compliance with the state's SIP.
EPA's Draft Title VI Guidance for EPA Assistance Recipients Administering
Environmental Permitting Programs (Recipient Guidance) suggests that a government
agency can identify geographic areas where adverse disparate impacts may exist and
work with stakeholders to reduce these impacts, for example, by placing a ceiling on
pollutant releases. Voluntary stakeholder techniques developed in the context of water
and air planning may be translatable into methods to improve conditions within
environmental justice communities.
Removal of Regulatory Impediments to Pollution Prevention: In some cases, current
end-of-the-pipe regulatory requirements impede the kind of thinking that can reduce a
much greater volume of pollution. The plight of dry cleaners provides an example of the
challenges faced by small businesses both in implementing pollution prevention and in
complying with the existing legal requirements. Dry cleaners use organic solvents that
become spent over time. Proper disposals of these spent solvents, and control of air
emissions during their use, are important concerns to the communities in which the
cleaning facilities are located.
Many dry cleaners are unable or unwilling to invest in costly and time-consuming source
reduction. In response, federal and state governments have developed programs designed
to make source reduction more palpable for dry cleaners. While some of these programs
offer only waste reduction advice to dry cleaners, others give financial assistance and
. 46
grants.
Recycling and Reuse: Use of recycled or reused products has enormous pollution
prevention potential since such reuse not only reduces consumption of virgin raw
45 Businesses are active participants in the multistakeholder planning process.
46 One financial program is offered by the Pennsylvania Department of Environmental Protection (DEP).
The Commonwealth makes "2% [interest] loans available to cleaners and others for pollution prevention
equipment as well as the free site analysis program." DEP Programs,
http://www.pdclean.org/DEP_Programs.htm (Last visited August 9, 2002). The EPA has offered financial
assistance to dry cleaners to achieve source reduction. This assistance included a grant of $100,000 to a
Korean Youth and Community Center in California aimed at Korean dry cleaners. "This outreach and
education program presents an innovative public-private partnership joining a private entrepreneur, a major
university, and a community-based organization in a collaborative effort to advance to state-of-the-art
environmental technology in the garment care industry." EJP2 Guide,
http://www.epa.gov/oppt/ejp2/guide.pdf (Last visited August 9, 2002). Utilizing these programs achieves
two ends: first, source reduction, which all stakeholders want to achieve and second, cost reduction, which
the dry cleaners and business owners desire.
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materials, but it also can save energy and water consumption in the manufacturing
process. Local and state governments, working with the private sector, have focused on
means to increase the volume of recyclable and reusable materials collected, and to
increase use of products made from such materials. Without product use, collection of
recyclables is unsustainable. Innovations in collection include single-stream collection,
which is more user friendly for householders and reduces vehicle traffic and thus
emissions in neighborhoods. Single-stream collection has been possible because of
technology advances in optical sorting, a development pioneered by Recycle America.47
States and local governments also have begun to explore the potential to reduce the
presence of particularly toxic chemicals in the environment through chemical- and
product-specific recycling initiatives. For example, a voluntary mercury collection
project initiated by the state of New Hampshire and Wheelabrator Technologies has
resulted in the collection for recycling of 70 pounds of elemental mercury, resulting in a
37% reduction in mercury emissions 48 Similarly, in Houston, Texas, the city initiated a
residential electronics recycling pilot program to collect for recycling personal
computers, cellular phones, televisions and other small consumer electronics.49 Many
communities sponsor household hazardous waste collection days that have facilitated the
recycling of wastes that would otherwise have been disposed in municipal landfills.
Pollution Prevention Initiatives in Permits: The overarching obligation in environmental
permits to assure protection of human health and the environment provides flexibility to
employ creative pollution prevention approaches. For example, the City of New York,
responding to community members' concerns about the number and potential impacts of
waste transfer stations in several boroughs, used its discretion in issuing permits to site
and continue to operate transfer stations to reduce the number of such facilities in
communities of concern. When one company, Waste Management, sought permit
renewal at one of its several transfer stations throughout the city, part of the permit
approval included closure of other company-owned facilities, thus reducing the volume
of waste handled and accompanying truck traffic in the borough. Such a policy, if
implemented with regard to all parties competing to handle the same business, has the
potential to improve environmental quality by consolidating activities at the facilities
most appropriately sited and with the best environmental controls. Its goal is similar to
the area-wide approach, but it could be implemented with an individual company or a
municipality operating several permitted facilities.
47 See www.wm.com/recvcle/ra home.asp
48 New Hampshire Department of Environmental Services, Environmental News (May/June 2001).
49 City of Houston, Residential Electronic Scrap Recycling Pilot Program Begins (October 8,2001),
http://www.ci.houston.tx.us/swd/press-electonicscrap.htm.
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States have piloted additional mechanisms to include pollution prevention in permitting.
In California, Texas and Massachusetts, for example, technology certification is used to
speed approval of new, pollution reducing technologies in permits.50
Environmental Management Systems: Many business, governmental and other
organizations utilize environmental management systems as a voluntary means of
identifying and surpassing applicable environmental requirements. An EMS is a
management tool that ordinarily includes a policy statement, a process to identify
applicable requirements, measurable targets, monitoring, measurement and correction,
and senior management review. Voluntary standards promulgated by the International
Standards Organization and the European Union Eco-Management and Audit Scheme
specify characteristics of the voluntary programs and stress the need for continual
improvement.
By including environmental considerations in an organization's decision-making process,
an EMS encourages decisions such as selection of raw materials, process design and
choice of energy supplies to be made with an eye toward minimizing environmental
impacts. EPA policies already provide some incentives for implementation of EMSs, for
example by reducing enforcement penalties when violations are identified, promptly
reported to EPA and promptly corrected.51
EPA should be encouraged to design incentives for companies to establish EMSs on a
voluntary basis using techniques best adapted to the company's business sector and
individual culture. EPA should also encourage legislation allowing multi-media,
performance based approaches. An EMS can provide some assurance to the local
community that voluntary compliance measures are accomplishing their objectives while
simultaneously providing a mechanism to exceed requirements. In effect, an EMS is part
of a method by which businesses self-regulate in alliance with the community. An EMS
can readily incorporate measurement, reporting and improvement in areas identified by
the community.
Emissions Reduction in Trading Programs: In order to implement continuous
improvement in air quality while allowing economic development, the clean air program
allows new development in areas not meeting air quality standards by conditioning the
development on reductions in air pollution elsewhere. This trading program has
enormous potential to allow development in relatively undeveloped areas while
50 Kurt Strasser, "Cleaner Technology, Pollution Prevention and Environmental Regulation," Fordham
Environmental Law Journal (Fall 1997), p. 28.
51 See U.S. Environmental Protection Agency, Incentives for Self-Policing: Discovery, Disclosure,
Correction and Prevention of Violations, Effective: May 11, 2000; U.S. Environmental Protection Agency,
Environmental Auditing Policy Statement, July, 9, 1986. See also, U.S. Department of Justice, Factors in
Decisions on Criminal Prosecution for Environmental Violations in the Context of Significant Voluntary
Compliance or Disclosure Efforts by the Violator (July 1, 1991).
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improving air quality in urban areas. In one example, the State of California approved a
trading proposal whereby Pacific Gas and Electric obtained the emissions credits needed
to construct a power plant by funding the conversion of 120 diesel garbage trucks to
natural gas vehicles in El Cajon. As a result of this transaction, truck emissions in El
Cajon were reduced by more than 50 %, with particulate emissions reduced by 80 % and
nitrogen oxide emissions 50% below regulatory standards. Without the utility's purchase
of emissions credits, the alternative fuel vehicles' added costs would have been
prohibitive. That project was awarded a U.S. Department of Energy's Clean Cities
National Partner Award in 2001, which emphasizes the need to build coalitions and
engage all interested stakeholders.
Pollution Prevention Components in Enforcement Actions: Pollution prevention and
enforcement are not incompatible. Where pollution prevention is undertaken as a
mechanism to achieve or surpass compliance, room exists to enforce laws against non-
compliant parties. Nevertheless, a wise enforcement policy encourages business
organizations to develop systems, strategies and cultures that voluntarily promote
compliance and improvement so that enforcement resources can be focused on the
comparatively few companies for whom compliance education and incentives are
inadequate. Pollution prevention can help ensure compliance, reduce the need for
enforcement by promoting product and process innovation, use of management systems
and community involvement, and allow enforcement resources to be directed in a manner
ensuring full and fair application of the laws.
Pollution prevention interacts with enforcement in several ways. First, enforcement
discretion should be exercised to allow companies exploring innovative alternatives to
rigid technological requirements to experience a "soft landing". Second, consistent with
EPA's current audit policy, the pollution prevention programs that companies are
implementing should be considered when penalties are calculated consistent with EPA's
current audit policy. Finally, companies can be encouraged to design and implement
pollution prevention techniques in the context of resolving enforcement actions through
supplemental environmental projects or other provisions in settlement agreements,
decrees or orders.53
52 Waste Management, Environmental Review (September 2002), www.wm.com. See also U.S.
Department of Energy, Alternative Fuel Truck Evaluation Project, Waste Management's LNG Truck Fleet
Final Results (January 2001), www.ccities.doe.gov/success/waste_management.shtml
53 U.S. EPA, Office of Criminal Enforcement, Forensics and Training, SEER Compliance-Focused
Environmental Management System - Enforcement Agreement Guidance, August 1997 (Revised January,
2000). A SEP is an environmentally beneficial project that a party agrees to undertake as part of a
settlement of an enforcement action and that the party was under no legal obligation to undertake.
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COMMUNICATIONS INITIATIVES TO PROVIDE INCENTIVES FOR
POLLUTION PREVENTION
Corporate Environmental Reporting
Many corporations have developed voluntary, freestanding reports that describe a
corporation's environmental, health and safety activities. In the past few years,
corporations have expanded their reports to include social issues and the corporation's
impact on the national and global economy. These reports are based on the reporting
standard format of the Coalition for Environmentally Responsible Economics (CERES)
(www.ceres.orgy This organization attempts to enhance corporate responsibility, through
shareholders, by requesting data on environmental topics termed the "CERES
Principles." CERES principles have since been expanded by the partnerships of the
United Nations Environment Programme (UNEP) and the Global Reporting Initiative
(GRI). These joint approaches help corporations set global standards on environmental
reporting and the responsible use of resources. These groups have gained credibility
among all stakeholders to the extent that many reports are deemed failures if they do not
include the major components identified by UNEP and GRI. Another important
component of corporate environmental reporting is the business-to-business information
sharing activities. There are several trade associations that provide this service; however,
groups such as the Global Environmental Management Initiative (GEMI)
(www.gemi.org') do these activities exclusively for member-companies. GEMI is a
leader in providing strategies for businesses to achieve environmental health and safety
excellence, economic success, and corporate citizenship.
33/50 Program
EPA asked chemical companies to participate voluntarily in a national reporting effort
intended to reduce the release and transfer of 17 toxic chemicals. Using the Toxic
Release Inventory reporting system and baseline, the 33/50 programs sought to reduce by
1992 33% of the 17 chemicals, and reduce these chemicals by 50% by 1995. Indicating
the effectiveness of voluntary efforts broadly publicized, industry surpassed its goal and
reduced these chemicals by 55% by 1995. Moreover, reductions continued beyond the
target program, with a 60% reduction by 1996.54
Information on Product Content
Consumer and public interest have led manufacturers to examine the content of their
products. Many well meaning initiatives try to force, shame or regulate companies to
make products containing either recycled content or use safer materials in their
production process. The theory behind these initiatives is that fewer resources and safer
material input will result in an environmentally friendly product. The reality is that
54 www.epa.gov/tri/programs/other federal.htm.
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market forces lead manufacturers to produce products that are not only environmentally
friendly, but also satisfy consumer demands. Historically, command-and-control
regulations have forced manufacturers to examine their operations and the effect that they
have on the environment. Today, manufacturers are leading the way through innovation
and research to produce safer products with minimal impact to the environment. For
example, the Ford Motor Company has voluntarily reduced its toxic emissions by using
water-based paint instead of solvent-based paint in vehicle assembly lines. Ford's switch
preserves and improves the environment, saves energy and money and delivers a higher
quality product.5
COLLABORATIVE ENGAGEMENT TO PREVENT POLLUTION
Brownflelds Revitalization
Businesses and communities share a common interest in returning properties with actual
or potential environmental contamination to productive use. The Comprehensive
Environmental Response, Compensation and Liability Act, 42 U.S.C. § 9601 et seq.,
imposes liability on, among others, current owners and operators of facilities. The
specter of liability inhibited prospective purchasers and resulted in abandonment of
environmentally impaired properties. Many of these properties are in environmental
justice communities.
In the past several years, states have responded to the need to rehabilitate such sites by
establishing voluntary cleanup programs. The programs generally set risk-based cleanup
goals that depend on the property's intended use, and afford protection from state liability
when the cleanup goals have been attained. Requirements for public notice and comment
often exist and community participation in reuse decisions is encouraged. Grants, loans
and tax incentives are sometimes also provided. The federal Small Business Liability
Relief and Brownfields Revitalization Act enacted in January 2002, provides incentives
to redevelop Brownfield sites by conferring federal liability protection in various
circumstances, including when state voluntary program requirements are met. The Act
also authorizes EPA to offer grants to facilitate Brownfield cleanups. One of the criteria
for ranking grant applications is whether the local community will be involved in the
decision making process relating to cleanup and future use of the Brownfield site.
Encouraged by Brownfield legislation, businesses have revitalized impaired properties.
Brownfield cleanups have ranged from small gasoline station sites to larger industrial
facilities. For example, an abandoned railyard in Pittsburgh, Pennsylvania was
remediated and converted to an office building complex under Pennsylvania's Land
Recycling Program. Similar cleanups of industrial facilities for use as industrial,
commercial or residential developments are increasingly common. Brownfields
55 See Ford Motor Company - Water Based Paints, www.ford.com.
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revitalization offers an opportunity for the business and residential communities to work
together to their mutual benefit.
The focus in EPA's brownfields program on collaboration among regulators, community
members and site owners and developers is particularly important when it comes to sites
where the optimal reuse is recreational or "green space." Brownfields reuse projects that
add to the municipal tax base can develop their own momentum, but non-economic reuse
plans that function primarily as resources to community members need encouragement
from regulatory agencies. The new brownfields legislation expressly includes green
projects, and EPA has been active in facilitating recreational community enrichment
projects. For example, EPA worked with community group members, local government,
the school district and the site owner to transform the closed, remediated H.O.D. landfill
and its buffer property into a multi-use recreational facility including walking and
running trails, ball fields and a planned ecological education laboratory. To assure long-
term environmental protection and provide "green energy," landfill gas collected at the
closed facility will be collected and used to heat school buildings and homes. Similar
brownfields reuse projects involving work group member Waste Management include
development of equestrian trails, constructed wetlands, wildlife preserves, golf courses
and a youth golf academy, and reef regeneration.56
Some of these projects have been certified by the Wildlife Habitat Council (WHC),
which has developed standards for quality in development of new and restored wildlife
habitats.57
Responsible Care
The American Chemistry Council's Responsible Care program obligates each member
company to "achieve ongoing reductions in the amount of all contaminants and pollutants
released to the air, water, and land." Each company practices responsible care by
establishing a continuing dialogue at the face-to-face level with local citizens on any
areas of their concern, as well as regular evaluation of the effectiveness of these
communications. Moreover, each member company must establish an ongoing program
to promote waste and release reduction by its customers and suppliers; assist in
establishing regional air monitoring networks; participate in consensus approaches to
evaluating environmental, health and safety impacts of releases; and assist local
governments and others in waste reduction programs. The Council commits to
continuous reduction of releases below health-based standards because "[t]he public does
not endorse the concept of 'permitted' generation of wastes or releases to the
environment. The public desires an increased margin of safety and environmental
56 Waste Management, WM Monday (July 22,2002).
57 See www.wildlifehc.org.
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protection as a goal. If the [responsible care] policy is to address the concerns of the
public, it must require sustained reductions."5
Dow Chemical Company's annual report on economic, environmental and social
accountability illustrates the impact of the Responsible Care program. The company is
on course to implement its practices globally by 1997. The company reports annually on
its progress toward the goal of 50% reduction in chemical emissions, 90% reduction in
process safety incidents, and 90% reduction in leads and spills from 1990 to 2005. In
addition to employing the Responsible Care community advisory panels, Dow conducts
community surveys to validate the effectiveness of these discussions. The company sets
for itself the goal that surveys taken in the communities where Dow has a significant
presence show at least 80% support by residents and leaders for the proposition that Dow
is a good neighbor and a valuable member of the community.59
VOLUNTARY EFFORTS
Product substitution/clean production
A principal method of reducing pollution involves designing products, selecting raw
materials and choosing energy sources with the goal of minimizing waste production.
Companies generally best understand their businesses and technologies, and can develop
innovative responses to pollution if given the latitude to do so. When companies make
innovative changes in products, processes or equipment, significant reductions in waste
quantity can be achieved. For example, manufacturing changes in the chemical industry
have achieved dramatic pollution reduction dividends.60
EPA required by 1999 that printing companies capture 92% of toluene emissions.
Toluene is a chemical used in ink formulations during gravure printing. R.R. Donnelley
in Chicago not only met the initial standard by 1990 (nine years before the regulatory
target), but it continued on the path of continuous improvement beyond regulatory
obligations. By the first quarter of 2002, R.R. Donnelley had achieved an overall 97%
emissions reduction.
58 www.americanchemistrv.com/cmawebsite.nsf
59 See Dow Chemical Company, Public Report 1999 and Public Report Update 2000;
www.dow.com/about/pbreports/00results/index.htm.
60 A study of waste reduction activity at twenty-nine chemical industry plants revealed that a high
percentage of wastes could be eliminated through chemical substitutions and product reformulations and
that lesser but nonetheless substantial percentage reduction could be achieved by process and equipment
changes. See Mark H. Dorfinan et al., Environmental Dividends: Cutting More Chemical Wastes (Inform,
1992) discussed in Kurt A. Strasser, Cleaner Technology, Pollution Prevention and Environmental
Regulation, 9 Fordham Envtl. L.J. 1, 14.
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Sustainable production/renewable resources
Business commitment to production that minimizes impact to human health and the
environment and utilizes renewable raw materials is growing. Often this commitment is
embodied in a corporate sustainability vision. For example, General Motors has stated a
commitment to integrating economic, environmental and social objectives into business
planning and has adopted the CERES Principles. GM has stated its intent to achieve its
vision through technology, innovation and partnerships with stakeholders including the
community. As part of its focus on life cycle management, GM promotes recycling of
vehicle materials. In addition, GM had reduced its non-recycled, non-product output by
42% by the end of 2000. Similarly, Georgia-Pacific demonstrated a commitment to
sustainable forestry by implementing a program of third-party verification to ensure the
health of the timberland managed by its suppliers. GP's audits include a focus on
training, outreach, forestry best management practices, support for water quality, wildlife
habitat and protected species, and guidelines related to daily operations.
Energy Efficiency
U.S. industry continues to become more energy efficient largely due to efforts toward
sustainable development. U.S. industry's share of energy use has declined steadily since
1949, while its share of real Gross Domestic Product has stayed the same. (Energy
Information Administration. Annual Energy Review.) Investments in new technologies
are helping manufacturers realize performance benefits and greater efficiency. A few of
these technologies include Combined Heat and Power Systems, which achieve high
levels of thermal efficiency, energy efficient motors, and improvements in steam system
performance. More effective use of energy by industry has the benefits of improving the
environment through reduced emissions of carbon dioxide (CO2), sulfur dioxide (SOx)
and nitrogen dioxide (NOx), and creating a safer working atmosphere with better
productivity. Greater energy efficiency has additional long-term benefits such as system
reliability, and increased value to shareholders. (Alliance to Save Energy. Energy
Efficient Technologies for Industry.) Voluntary efforts such as the Energy Star, AgStar
and Natural Gas Star programs help corporations and consumers achieve greater
efficiency and reduced emissions, while improving the bottom line.61
Conservation and Green Space Initiatives
An important element of pollution prevention is preservation of existing green spaces and
creation of new areas that are not only non-polluting but also serve to remediate existing
pollution. A number of non-profit/business coalitions have formed to sustain these
preservation initiatives. The Nature Conservancy, for example, partners with businesses
to reforest developed areas, preserve pristine habitats and restore coral reefs.62 Many
61 See EPA. "Methane and Sequestration" section.
62 See www.nature.org
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states have dedicated funds to provide green space. The New York State Department of
Environmental Justice Advisory Committee has recommended that these funds give due
consideration for urban green space in order to respond to the needs of environmental
justice communities.63 Combining these green space-funding opportunities with
community-based brownfields reuse projects provide substantial resources for
community improvement.
Sector Identification of "Best Management Practices"
The Northeast Waste Management Officials Association, working with the lending
industry, developed a pollution prevention guide for loan officials, educating them on
how pollution prevention investments provide short and long-term returns. For example,
the loan officer for Hubbardton Forge understood the potential liabilities extinguished by
investing in a new electrostatic powder coating system and approved the loan. After two
years, the payback was elimination of toxic emissions and 98% reduction in use of toxic
chemicals.64 The forestry industry through the American Forest and Paper Association
implemented the Sustainable Forest Initiative, "a comprehensive system of principles,
objectives and performance measures developed by professional foresters,
conservationists and scientists to combine the perpetual growing and harvesting of trees
with the long-term protection of wildlife, plants, soil and water quality."
www.aboutsfi.org. Over one million acres are reforested each year under the SFI
program.
RESOURCES, INCENTIVES AND CAPACITY BUILDING
This section describes current regulatory and financial incentives to encourage businesses
to employ pollution prevention activities. Enhancement of these existing programs has
great potential to expand pollution prevention in environmental justice communities.
Green Subsidies
Renewable Fuel Vehicles and Other Green Energy Incentives: Prices in the marketplace
convey signals for conservation. They provide constant information feedback loops about
the relative scarcities of different resources. The result of this information feedback
system is that resource users have an incentive to "do more with less." It is these price
signals that have prompted the creation of renewable fuel vehicles. For example, the
63 Environmental Justice Advisory Group, Recommendations for the New York State Department of
Environmental Conservation Environmental Justice Program (Jan. 2,2002), p. 20. See also Environmental
Law Institute, Smart Links: Turning Conservation Dollars into Smart Growth Opportunities (2002), p. 19
(www.eli.org publications), which indicates that among the many state smart growth and conservation
funds, Illinois' Open Space Land Trust Program reduces its matching fund requirements for grants in
"disadvantaged" areas.
64 See www.epa.gov/p2/programs/primer.txt.
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Hybrid Electric Vehicle (HEV) is a general term for automobiles whose power train
combines two sources of power: one electric and the other an internal combustion.65
This technology can be found in the popular Toyota Prius. Another environmentally
friendly fuel source gaining mass-production is the fuel cell, which is used as the primary
power source in electric vehicles. Fuel cells work by chemically combining hydrogen
and oxygen, a process that produces electricity and water.66 Pilot programs using
hydrogen fueling stations are already operational in Europe.67 Another renewable fuel
source is natural gas, which is stored beneath the earth's surface. Other sources are
ethanol and grain alcohol, which are made from corn, an abundant crop in the U.S.
The new CLEAR Act includes important provisions supporting the development and use
of alternative fuel trucks and needed fueling stations. Because these renewable fuels
dramatically reduce the level of pollutants from trucks and other service vehicles, these
tax incentives are vital to improving urban air quality in the considerable interim period
until fuel cells are operational.69
Other legislative proposals support the development of projects collecting and
transferring for beneficial use landfill gas otherwise controlled by flaring or emitted into
the ambient air. Uncontrolled landfill gas has the potential to create a fire hazard, is
odorous and contributes to local air pollution and increased ambient greenhouses gases.
Incentives to go beyond regulatory gas control requirements and install gas-to-energy
systems improve local air quality and provide clean-burning renewable fuel.
Brownfields Redevelopment Incentives: Federal and state remedial statutes require that
contaminated properties be addressed to assure protection of health and the environment.
To go beyond these statutory mandates and implement land reuse options that reduce
current and future pollution often requires financial incentives. The Small Business
Liability Relief and Brownfields Revitalization Act of 2001 have created a such an
incentive. Total moneys available from EPA have expanded, and non-profit organizations
as well as local government units are eligible for funding. The legislation confirms the
importance of community dialogue about redevelopment options and assures that
recreational and green space initiatives, as well as commercial and industrial options, will
be considered. There are a number of other federal programs from which brownfields
revitalization funding is available as well, ranging from the Department of Housing and
Urban Development to the Department of the Interior.
State programs are equally important in providing incentives beneficial for reuse projects.
For example, Illinois' Renewable Energy Resources Program funds brownfields projects
65 See Office of Transportation Technologies, U.S. Department of Energy, www.ott.doe.gov/hev.
66 See Fuel Cells 2000. www.fuelcells.org.
67 See Could hydrogen be the fuel of the future? Marsha Walton.
68 See Natural Gas Information and Educational Resources, www.naturalgas.org.
69 See www.energy.gov/transportation/sub/altfuel.html
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employing renewable energy. The Wisconsin Department of Commerce awards
brownfields grants to projects assuring a positive effect on the environment.70 New York
state remediation projects, which benefit the environment and have potential for public or
recreational use of cleaned up property are eligible for grants.71 Municipal governments
also have taken the lead to inform property owners and community members about grants
and other financial resources available to community groups and the public and private
sector to move remediated sites into beneficial reuse.7
Subsidies for Installation of Green Technology: There are a myriad of mechanisms to
incentivize and reward use of green technology, ranging from disbursement of funds
from taxes or special charges to issuance of bonds or outright grants. EPA advisors have
comprehensively outlined these mechanisms.73
States also provide economic incentives for use of greener technology by, for example,
requiring state departments to purchase at least 5 percent of all electricity from renewable
sources.74 In other states, business associations have advocated that impediments to
installation of green technology be eliminated. Business representatives testifying before
the National Environmental Policy Commission, convened at the request of the
Congressional Black Caucus, recommended a number of mechanisms to fund clean
business and technology, including repealing the tax on equipment installed to reduce
pollution below regulatory levels and governmental purchasing preferences for
companies employing green technology and pollution prevention.75
Green Procurement and Recycled Content Mandates and Subsidies
Green procurement and recycled content mandates have been found to be counter-
productive, costly and burdensome to achieving environmentally friendly products and
purchasing. Not all environmental gains have come through political action. Better
progress has come from allowing marketplace competition and private stewardship. For
example, Extended Product Responsibility (EPR) (The Road to Sustainable
Development: A Snapshot of Activities in the United States, March 1997) stresses the
idea of shared responsibility among suppliers, manufacturers, and consumers for reducing
the environmental impacts of products throughout their lifecycles. EPR encompasses any
or all steps in the process from the use and distribution of raw materials, to the design and
manufacture of products, to the use and disposal of these products. The President's
70 See http://commerce.state.wi.us/CD/CD-bfi-grants.html
71 See www.dec.state.nv.us/website/der/bfield/index.html
72 See Cuyahoga County Planning Commission and Neighborhood Progress, Inc., Brownfields Information
and Resource Guidebook (October 1998).
73 See Environmental Financial Advisory Board, Paying for Sustainable Environmental Systems (April
1999), www.epa.gov/owmitnet/cwfinance/cwsrf/enhance/docfiles/other doc.
74 BNA, Daily Environment Report (April 24, 2002), p. A-9.
75 See National Environmental Policy Commission, Report to the Congressional Black Caucus and
Congressional Black Caucus Foundation Environmental Justice Braintrust (September 28, 2001), p. 100.
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Council on Sustainable Development has stated that "The greatest responsibility for the
EPR rests with those throughout the chain of commerce... that are in the best position to
practice resource conservation and pollution prevention at lower cost." (President's
Council on Sustainable Development: A New Consensus for Prosperity, Opportunity and
a Healthy Environment, February 1996) Many companies have already taken the
initiative by making recycling a high priority and integrating it as a routine business
practice. Many companies, such as Alliance Energy, are using recycling in the
construction of their facilities. Other organizations such as Enviroexchange,
Wastechange, and Sonepa, connect producers of waste with those who use it in their
manufacturing processes.
Research and Development Assistance
Federal agencies are uniquely positioned to conduct and disseminate the results of
research on new and cost-effective pollution prevention technologies and techniques.
The Department of Energy has been a leader in conducting and funding research into
pollution prevention for radioactive, hazardous and solid wastes and generation and use
of green energy.76
Grants from DOE can often make the difference in inaugurating private sector pollution
prevention research, and the federal agency web pages are excellent mechanisms to
publicize new technologies. Modest funding and technical expertise from the
Department of Energy has been key to its research on the capabilities, cost and
performance of alternative fuel fleets.77 DOE's cooperative agreements to fund
development of fuel cells, estimated at $80 million, are key to development of this low-
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polluting technology.
Regulatory flexibility
Government regulations can promote or inhibit innovation and environmental
improvement, depending on how they are designed and applied. Although traditional
command and control requirements have reduced environmental impacts, they have also
discouraged or prevented businesses from developing smarter, more economical solutions
suitable to their own operations or responding promptly to changes in technology.
Various alternatives have been explored to introduce greater flexibility into the regulatory
process and provide incentives for environmental improvement. For example, New
Jersey's Gold Star and Silver Star initiatives afford companies with good environmental
track records benefits to encourage further progress. These benefits include special
76 See www.em.doe.gov/wastemin:www.oml.gov/ornlp2/p24.htm;www.pnl.gov/energvscience/06-
01/inside.htm.
7' www.ccities.doe.gov/success.shtml
78 See www.ccities.doe.gov/whatsnewOO.shtnil. See also www.ccities.doe.gov/whatsnewO 1 .shtml.
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recognition of the company, a single point of contact within the environmental agency,
expedited permit processing, consolidated reporting, project flexibility, "smart permits"
that authorize a range of operating scenarios contemplated by the company, and technical
assistance with agency program requirements. Other available techniques for providing
flexibility include innovation waivers of regulatory deadlines, special permits for testing
and evaluation, and soft landing.79 EPA programs such as project XL discussed above
have provided similar flexibility, at times by allowing consolidated or multimedia
permits. In many of these special projects industry has responded by adjusting processes
or techniques to achieve pollution reduction.
Single media bubble approach: When government has chosen to regulate by establishing
caps on total emissions, allocating emission allowances to companies and allowing
trading of those allowances, greater emission reductions have been achieved at lower cost
compared with traditional command and control approaches. For example, the acid rain
program under the Clean Air Act, which established a cap-and-trade program for sulfur
dioxide, reduced annual sulfur dioxide emissions in the first phase by 50 percent below
allowed levels. A cap and trade program for chlorofluorocarbons in accordance with the
Montreal Protocol was also successful. The Administration has proposed a cap-and-trade
alternative to new source review under the Clean Air Act and is considering a trading
approach to discharges under the Clean Water Act. The success of market-based
programs to date demonstrates that where businesses are given the flexibility to achieve
environmental targets in a way best suited to them, both the business and the environment
benefit.
The cap-and-trade approach holds particular promise for environmental justice
communities. The government's usual practice is to provide less than a unit of emission
credit for each unit that a company trades. The difference between units sold and units
bought benefits the environment. Government could provide a greater credit for
reductions achieved within an environmental justice community, thereby using the
trading system to cause businesses to "trade pollution out" of environmental justice
communities.
Regulatory Focus
The regulatory flexibility described above offers clear potential to focus pollution
prevention efforts in environmental justice communities. Much like its approach to
critical watersheds needing restoration, EPA could identify "priority pollution prevention
communities" where the aggregation of polluting sources leads the agency to prioritize
efforts to reduce overall pollution. This initiative should have particular focus on
communities of color and low-income communities, reflecting the priority the current and
past EPA administrations have placed on addressing environmental justice. Working
79 See Strasser, supra at 60.
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with community representatives, the agency could identify its priority communities and
focus available resources to incentivize pollution prevention. This could take the form of
facilitating access to pollution prevention grants and subsidies, using regulatory
flexibility to encourage pollution reduction, and encouraging comprehensive business and
local government participation in pollution prevention initiatives.
Information
EPA already has established a network of information on pollution prevention projects,
practices and opportunities that could be better communicated to both communities and
businesses. The agency's web site compiles a list of pollution prevention projects and
on o t
resources. Individual offices have their own programs. The agency's "Partners for
the Environment" program in the year 2000 included 11,294 partners who reduced
37.3MMTCE of green house gas emissions, recycled 17,788 tons of municipal solid
waste, saved 768.8 trillion BTUs, and reduced nitrogen oxide by 158,172 tons and sulfur
dioxide by 288,627 tons.82
The agency provides practical advice on how office workers and farmers can prevent
pollution,83 and provides extensive information on pollution prevention equipment,
products and services.84 All of this information could be made more user friendly by
communications efforts that might include compilation of all information on an
integrated web site, plain English description of pollution prevention resources and
information for broad public dissemination, and staff training on the available
information.
EPA can also provide important environmental protection by using its discretionary
authority to issue "best practice" guidance. Previous work by the NEJAC Waste and
Facility Siting Subcommittee provides examples of the ways agency guidance can shape
local and state government and voluntary private approaches. These examples reflect
ways that facilities with potential pollution can go beyond regulatory compliance to
further reduce emissions and to assure robust community collaboration. For example, the
NEJAC Subcommittee report on brownfields revitalization included recommendations
about soliciting "green" redevelopment and conducting business/community
collaborative dialogue that have shaped EPA and other governmental policies on
brownfields redevelopment.85
80 See www.epa.gov/opptintr/p2home/resources/epahv.htm
81 See EPA, Pesticide Environmental Stewardship Program; www.epa.gov/oppbppd 1 /PESP
82 www.epa.gov/partners/partnerships.html
83 www.epa.gov/epahome/workplac.htm
84 http://es.epa.gov/vendors
85 NEJAC, Environmental Justice, Urban Revitalization and Brownfields: The Search for Authentic Signs
of Hope" (EPA 500-R-96-002 Dec. 1996),
www.epa.gov/compliance/resources/publications/ei/public dialogue brownfields 1296.pdf
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Similarly, the Waste and Facility Siting Subcommittee's report recommending ways to
reduce the environmental and health impacts of waste transfer stations86 provided the
basis for EPA guidance advising how state and local governments and public and private
sector facility owners could go beyond current regulatory compliance to reduce pollution
at waste transfer stations. These kinds of projects, combining the efforts of regulators,
community-based experts and business, can generate best practice guidance that is
practical, readily implemented, and directly beneficial to environmental justice
communities.
PUBLIC RECOGNITION
Government awards/communication of good practices
As evidenced in the number of corporate environmental reports listing awards received
from EPA and state environmental agencies, issuance of public recognition is one of the
simplest mechanisms by which pollution prevention efforts can be encouraged. Express
recognition of pollution prevention initiatives that reduce and eliminate pollution in the
"priority pollution prevention communities" described above would provide tangible
reward for new business efforts to advance environmental justice.
Stakeholder Group Recognition
Many business and other associations designated sector-based awards for outstanding
achievement in sustainable environmental practice. By incorporating links to these
recognition systems in EPA's descriptions of its own award systems, the agency could
acknowledge and enhance stakeholder efforts to prevent pollution.87
Multi-Stakeholder Group Recognition
EPA could facilitate a system whereby environmental justice group members could
provide positive recognition for facilities and activities that have resulted in meaningful
pollution prevention in their communities. In a time of limited governmental resources,
creation of an award system recognizing activities praised by environmental justice and
grassroots groups could be an effective means of encouraging businesses and publicly
owned permitted facilities to strive for significant pollution prevention. Much like the
Phoenix award for brownfields revitalization sponsored by the environmental
departments from Pennsylvania and New Jersey, this award program could solicit
applications from the public and private sector for sites or technological developments
reducing pollution below environmental standards in environmental justice communities.
86 NEJAC, A Regulatory Strategy for Siting and Operating Waste Transfer Stations (EPA 500-R-00-001
March 2000), www.epa.gov/comoliance/resources/publications/ei/waste/waste trans reg strtev.pdf
87 See, e.g.. the awards listed at www.americanchemistrv.com
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Like the Phoenix awards, criteria could include the provision of environmental
improvement and long-term community economic benefit, use of innovative techniques,
and cooperative efforts by multiple parties.88 The award's meaningfulness would be
enhanced if its reviewers were primarily environmental justice and community group
members. The awards would truly reflect community views and experience.
FACILITATION OF COLLABORATIVE ENGAGEMENT
Interagency Working Group Template
The Interagency Working Group (IWG) was created by Executive Order 12898, "Federal
Actions to Address Environmental Justice in Minority Populations and Low-Income
Populations." Under Executive Order 12898, federal agencies are directed to make
achieving environmental justice an integral part of their missions. The IWG is a
collaborative demonstration project-based approach, with the federal government as the
facilitator that allows for the full exhaustion and dissemination of information by all
stakeholders. It tackles a manageable set of issues and parties, and allows for trial and
error. Where good models emerge from the demonstration projects, they can be
replicated and expanded in future efforts. Bad ideas can be discarded. Business is
approached as a potential partner, is part of the dialogue, and is expected to contribute
fairly based on its contribution to the problem presented.
Expansion of IWG Pilots with Funded Pollution Prevention Projects: The EPA is
conducting the next round of demonstration projects, which will build upon the creative
and comprehensive solutions that the last projects accomplished. These projects could be
a good opportunity to encourage pollution prevention projects in environmental justice
communities. To accomplish this, however, funds should be allocated, through EPA to
businesses for research and innovative solutions to pollution prevention.
Supplemental Environmental Projects (SEPs)
EPA will frequently allow a company alleged to have violated an environmental law to
perform a supplemental environmental project ("SEP") as part of an enforcement
settlement. To be accepted by EPA, the proposed SEP must be related to the alleged
violation and go beyond actions that the company was legally obligated to undertake.
While SEPs may benefit the entity in violation, SEPs do not completely offset monetary
penalties, nor will EPA, typically, accept a dollar for dollar reduction in penalty for
agreement to undertake a SEP. With the exception of SEPs that implement pollution
prevention projects of outstanding quality, which are eligible for dollar for dollar
mitigation, a SEP will mitigate penalties by up to 80% of the cost of the SEP. In
88 See www.deD-State.pa.us/hosting/phoenixawards/Application/Intro.htm
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addition to the benefits available under the SEP Policy, EPA will reduce penalties further
for entities voluntarily disclosing violations under the Audit Policy.
SEPs must meet certain requirements for EPA to enter into a settlement agreement that
includes a SEP. By far the most limiting of these requirements is the need for "nexus"
between the violation and the proposed project. The nexus requirement revolves around
three axis: the type of media impacted; geographic area impacted; and nature of the
violation. The further away a SEP is from these axis the more difficult it is to show a
nexus.
Eight categories of projects are acceptable as SEPs. These include: Pollution Prevention,
Pollution Reduction; Pubic Health; Environmental Restoration and Protection;
Assessments and Audits; Environmental Compliance Promotion; Emergency Planning
and Preparedness; and other. The SEP Policy strongly supports the implementation of
SEPs resulting in pollution prevention, providing that "SEPs involving pollution
prevention techniques are preferred over other types of reduction or control strategies...".
9 The SEP Policy provides for mitigation of penalties for Pollution Prevention SEPs.
Pollution Prevention SEPs that implement source reductions are especially favored.
Indeed, while as mentioned above mitigation percentages typically do not exceed 80
percent of the SEP cost, if "the SEP implements pollution prevention, the mitigation
percentage of the SEP cost may be set as high as 100 percent if the defendant/respondent
can demonstrate that the project is of outstanding quality." 90
While the SEP Policy singles out Pollution Prevention SEPs for special treatment, other
categories of SEPs related to pollution prevention are also included. An example of one
of these categories is "Pollution Reduction" SEPs. Pollution Reduction SEPs address
pollutant or waste streams already generated or released. These SEPs typically employ
recycling, treatment, containment or disposal techniques. A pollution reduction project is
one which results in a decrease in the amount and/or toxicity of any hazardous substance,
pollutant or contaminant entering any waste stream or otherwise being released into the
environment by an operating business or facility by a means which does not qualify as
"pollution prevention." This may include the installation of more effective end-of-process
control or treatment technology, or improved containment, or safer disposal of an existing
pollutant source. Pollution reduction also includes "out-of-process recycling," wherein
industrial waste collected after the manufacturing process and/or consumer waste
materials are used as raw materials for production off-site.
To promote the use of SEPs that address environmental justice issues, the SEP Policy
provides that EPA should consider mitigating penalties when the proposed SEP benefits a
community with environmental justice issues. The SEP Policy provides:
89 See, www.epa.gov/compliance/civil/ programs/SEP/sepinfo.html.
90 See SEP Policy § E. Step 4.a.2 (May 1,1998).
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After the SEP cost has been calculated, EPA should determine what percent of
that cost may be applied as mitigation against the amount EPA would settle for
but for the SEP. The quality of the SEP should be examined as to whether and
how effectively it achieves each of the following six factors listed below....
Environmental Justice. SEPs which perform well on this factor will mitigate
damage or reduce risk to minority or low income populations which may have
been disproportionately exposed to pollution or are at environmental risk... ,"91
SEPs must be undertaken by the entity entering into the agreement with EPA. While the
entity may contract, or make other arrangements, with an outside party, the entity cannot
discharge its SEP responsibility by, for example, agreeing to donate funds to a
community-based organization or stating that a third party has assumed responsibility for
the SEPs implementation. This is not to say that a community-based or other
organization cannot have a role in either recommending a particular SEP or helping an
entity to implement a SEP. Community-based organizations can participate in the
development of a SEP by, for example, recommending to EPA that particular projects be
undertaken as a SEP. This recommendation can be made either in advance of an
enforcement action (e.g., community contributions to a Region's "SEP Library," a
listings of proposed and model SEPs), or the advising organization can make a
recommendation to EPA or the entity during the enforcement proceeding. Because the
advising organization is not a party to the settlement and SEPs are entirely voluntary on
the part of the entity, the advising organization does not have "veto power" or the
authority to direct any action, in particular. Moreover, issues of confidentiality during the
enforcement process (or other sensitivities) may limit the advising organization's role at
the time of settlement.92
SEPs represent a concrete way for industry and EPA to translate the pollution prevention
goal into action that benefits minority and/or low-income communities. While there has
been no systematic review, case study examples show that Pollution Prevention SEPs
have resulted in benefits to communities with environmental justice issues. As with
other pollution prevention SEPs, these benefits can include, among others93:
(1) Environmental and health benefits directly attributable to the SEP;
(2) Indirect benefits from pollution prevention implementation "beyond" the SEP either
through technology transfer within/outside of the firm, or through organizational changes
91 See SEP Policy § E. Step 4.a (May 1, 1998).
92 See draft "EPA Guidance for Community Involvement in Supplemental Environmental Projects," 65
Fed. Reg. 40639-40644 (June 30, 2000).
93 See OECA, "Final Report, Recent Experience In Encouraging the Use of Pollution Prevention in
Enforcement Settlements" (May 1995)("Final Report")(Note language from this report has been
incorporated without citation).
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within the firm. These benefits can yield both positive economic results for the effected
entity and decreased pollution loading for the effected community; and
(3) An opportunity to turn a negative situation into a better or positive situation for all
involved, including creating better relationships among the entity, EPA, and the impacted
community.
The settlement of an enforcement action, or resolution following self-disclosure, creates a
"window of opportunity," for the entity, EPA and the impacted community to address a
variety of matters simultaneously. Especially for entities operating older facilities, in
communities with environmental justice issues, pollution prevention SEPs can represent a
significant opportunity. Benefits may include low opportunity-cost investment in
production processes, resulting in deceased operating and compliance costs, and
increased effective life of the facility.
[Pollution Prevention SEPs can incentivize firms, first,] to innovate, i.e., to
overcome the barriers to pollution prevention innovation that often exist in firms,
through penalty reduction, improved relations with the agency, and improved
public relations... Second, since the firm has committed to implement the
innovative project in its consent agreement with the agency..., there is a strong
incentive to stick with the project event when technical difficulties arise.
For the surrounding community, these benefits may translate into reduced emissions
loading, continued economic benefit from local industry, and positive business climate.
And, for the EPA benefits include, efficient realization of its statutory mission.94
EPA should encourage collaboration between the company proposing a SEP and the
affected community to design and implement SEPs that best meet the community's
needs. EPA could designate within its Office of Enforcement and Compliance a
knowledgeable technical assistance staff to facilitate the dialogue with the community,
help identify potential pollution prevention projects and educate the company and
community about the existence of proven, cost-effective technologies and innovation
opportunities. Small and medium manufacturers with limited resources and expertise and
the communities in which they are located would particularly benefit from this assistance.
EPA should consider initiating these collaborative discussions proactively rather than
waiting for a SEP proposal to be made.
94 Id.
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BUSINESS RECOMMENDATIONS TO ENHANCE POLLUTION PREVENTION
IN ENVIRONMENTAL JUSTICE COMMUNITIES
EPA reorganization
To enhance the prominence of its pollution prevention division, it should be combined
with the Office of Policy, Economics and Innovation (OPEI), and regularized
communications to promote pollution prevention activities in the various program offices
should be assured. To better inform the public about EPA's pollution prevention
activities, the agency should report yearly on FTE's working on pollution prevention
projects in every agency office (including employees paid from the Superfund account).
Pollution prevention funding
EPA should request annual appropriations that re-establish its pollution prevention small
grants. The agency should also make support for state pollution prevention programs a
criterion for delegation of programs to the states.
Enforcement policy
Where appropriate, compliance penalties in environmental justice communities should be
directed to pollution prevention projects that benefit the health, environment and quality
of life of community members, rather than directing these funds to the U.S. Treasury.
Community members should oversee these projects jointly and facility employees in
order to assure that community needs are met and improved collaboration between the
penalized facility and its neighbors facilitated.
EPA information initiative
EPA needs to inform its staff and other stakeholders about the array of pollution
prevention projects and ideas developed throughout its media-specific programs. To that
end, its annual pollution prevention roundtable should receive the kind of financial
support and publicity that its annual brownfields conference enjoys. During that
conference, best practices should be publicized and rewarded.
Sector initiatives
EPA should approach the major sector trade associations to develop pollution prevention
best practice guides and a list of contacts for further information. Pilot projects should be
initiated with companies willing to try bold new approaches to pollution prevention. To
encourage participation, the Agency should assure a "soft landing" in the event a new
approach is unsuccessful, i.e., if new technology or practices not only fails to reduce
pollution beyond applicable regulatory standards but is less effective that the standard
requires, the company should be required to meet the regulatory standard by other means
but shall not be penalized for the earlier failure.
State source reduction plan certification
State source reduction plans currently require a certification on progress made in
reducing the volume and toxicity of wastes in the state. Facilities providing such
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certifications should be sent relevant, sector specific pollution prevention pamphlets and
should be required to sign a certification that they have read and evaluated the
opportunities described therein.
Small business pollution prevention coordination
Like community members, small businesses often have little familiarity with pollution
prevention best practices and the regulatory and other experts who can facilitate pollution
prevention planning. EPA should establish an SMM technical assistance department
within the Office of Enforcement and Compliance Assurance specifically geared toward
helping SMMs with compliance assistance and pollution prevention. This staff can work
in conjunction with the advocacy and education efforts of the EPA Small Business
Ombudsman.
Larger business initiatives
Larger businesses, usually members of national trade associations, are better informed
than small businesses on pollution prevention opportunities, and the larger businesses
have the staff to underwrite participation in pollution prevention projects. Rather than the
information and compliance assistance needed for small business, larger businesses need
incentives for significant and creative pollution prevention projects. There are several
means to incentivize pollution prevention projects in environmental justice communities:
• EPA should evaluate its XL and other pollution prevention projects to identify
how to encourage the most cost-effective projects, including projects where
technology or materials substitution could supplant more expensive end-of-pipe
controls. It also should reconsider the level of pollution reduction expected in
order to participate in such programs. If the bar is set too high, few companies
will undertake the additional paperwork and process expected to participate in
XL.
• Permits with pollution prevention projects could receive priority administrative
processing so long as the community supports the projects.
• EPA could designate a single point of contact to assist in the processing of
permits across media and authorize a range of operating scenarios in the permits.
• Special permits for testing and evaluation of innovative technologies could be
issued.
• Pollution prevention projects could be favorable publicized by federal and state
agencies, with appropriate awards and descriptions on agency web sites and
pamphlets.
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• EPA could organize an award system whereby a representative number of
community group members from across the country would evaluate and recognize
the best pollution prevention projects in environmental justice communities.
Recycling
EPA should investigate how its purchasing and permitting authorities could be used to
further support the market for products made from recycled materials.
Household hazardous waste
EPA should further support creation of household hazardous waste programs, including
disseminating information about the need for such programs. The EPA Small Business
Ombudsman should promote the proper storage and disposal of small quantity generator
hazardous waste to SMMs.
Performance and market based approaches
EPA should avoid rigid command and control regulations and instead employ
performance-based requirements and market based approaches that provide incentives
and flexibility to businesses to meet environmental standards.
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Chapter 6: Government Perspectives
This chapter was authored by members of the Government Stakeholder group to
elaborate on the views of the members of that group, not necessarily reflect the views of
members of other stakeholder groups or of the NEJAC Executive Council.
HISTORICAL AND REGULATORY FOOTPRINTS
With the publication of Rachel Carson's book Silent Spring in 1962, the modern
environmental movement quietly began. The environmental movement had transformed
from the conservationism era to a new form of environmentalism that now considered the
impacts on human populations as well as the natural environment. Carson's book, one of
many important antecedents to the new environmentalism, detailed a potential correlation
between the overuse of pesticide and diminishing songbird populations. Many readers
became understandably concerned over this perceived environmental threat. However,
many more feared the parallel implications that environmental exploitation could
possibly have on human populations. The correlation of environmental misuse and its
effect on living species reinforced the concept that we should appropriately manage our
environment to minimize the effects of pollutants on our resources.
Over the years our population grew and industrialization expanded. The steadily
increasing concern about the air and water quality resulted in significant government
intervention in 1970 when the National Environmental Policy Act was adopted on New
Year's Day. The tasks detailed within this new law would measure, assess, and evaluate
the status of air and water quality existing at that time. Later that year, on April 22, the
first Earth Day was celebrated. The final, and perhaps most significant, actions that
occurred in the "Year of the Environment" were the formation of an independent
government agency tasked with the management of our environment, the United States
Environmental Protection Agency (USEPA), and the adoption of the Clean Air Act of
1970 (CAA).
Adoption of the CAA instituted the control activities of the newly formed EPA and began
a history of regulatory limitation, or permitting programs, designed to regulate the
amount(s) of pollution businesses, companies, government agencies and industries could
release to the environment. This system proved immediately successful in reducing
environmental impacts. Other regulatory adoptions soon followed:95 These include the
Federal Environmental Pesticide Control Act of 1972; the Water Pollution Control Act
amendments of 1972; the Ocean Dumping Act of 1972; the Safe Drinking Water Act of
1974; the Toxic Substances Control Act of 1976; the Resource Recovery and
Conservation Act of 1976; and, the Clean Water Act in 1977.
95 See: Phipps, Erica, Pollution Prevention Concepts and Principles. University of Michigan, National
Pollution Prevention Center for Higher Education. September 1995.
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Further regulations were adopted to address the growing concerns over past actions of
environmental polluters. These regulations would prioritize and tackle the cleanup or
remediation of areas previously contaminated by spills, releases or dumping activities. Of
particular importance was the authorization of the Comprehensive Environmental
Response Compensation and Liability Act (CERCLA) in 1980 with the formation of a
Superfund to finance the potentially huge environmental clean-up costs.
Many of the adopted control programs were very successful. Other programs were
modified and improved, or perhaps eliminated because of a duplication of efforts.
Numerous federal programs were delegated to the states and managed under appointed
authority accordingly. However, as time passed, it became obvious that the regulatory
control activities could be fully supported, or even expanded, to include activities that
address pollution before its release into the environment. This realization led to the
formation and adoption of the Pollution Prevention Act (PPA) of 1990. Tragic chemical
release occurring such as Bhopal, India in 1984, where 2500 deaths occurred and in the
town of Institute, Virginia in 1985, where no fatalities occurred contributed to this
realization. This policy directed that pollution should be prevented or reduced at the
source whenever feasible. It also expanded the base of the individual's right to know of
the risks posed to the community. Instead of reiterating the "end of pipe" treatment of
environmental pollutants, "pollution prevention" moved upstream to prevent the
pollutants from being generated in the first place. Government at all levels has been
encouraged to implement the conditions contained in the PPA of 1990. This realization
coupled with decades of great concerns related to minorities and low income populations
bearing disproportionate health and environmental effects led to the issuance of the
executive order. This executive order encouraged federal agencies to address the issue of
environmental justice.
This expanded reporting of emissions also proved beneficial to industry. For the first
time many facilities actually quantified the pollutants released (and material wasted), and
based on this information improved efficiencies and focused resources. Additionally, the
public availability of this information can enhance both corporate image and profitability.
POLLUTION PREVENTION AND ENVIRONMENTAL JUSTICE
Pollution prevention (P2) is the reduction or elimination of wastes and pollutants at the
source. By reducing the use and production of hazardous substances, and by operating
more efficiently we protect human health, strengthen our economic well being, and
preserve the environment. Pollution prevention encompasses a wide variety of activities
including:
• More efficient use of materials, water energy and other resources
• Substituting less harmful substances for hazardous ones
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• Eliminating toxic substances from the production process
• Developing new uses for existing chemicals and processes
• Recycling and reuse
• Conserving natural resources
Reducing pollution at its source (source reduction) allows for the greatest and quickest
improvements in environmental protection by avoiding the generation of waste and
harmful emissions. Source reduction helps to make the regulatory system more efficient
by reducing the need for end-of-pipe [after generation] environmental control by
government.
The process of pollution prevention involves identification, resolution, and action. First,
government, business, consumers — society, in general — must identify the root causes
of waste and pollutants. After identifying the sources, a decision must be made as to how
best to minimize the generation of these wastes and pollutants. Assessing the efficiency,
appropriateness, and feasibility of the method(s) to be applied can do this. Finally, action
must be taken, resolving to implement the plan that best reduces the production of wastes
and pollutants. Throughout this three-step process, the government can act definitively
and reliably as an enabling partner in fostering pollution prevention.
Additionally, pollution prevention involves multi-media approaches that work to solve
environmental problems holistically and do not only focus on pollution in a single
medium (air, land, or water). Rules, regulations, and solutions that are not multi-media
sometimes make existing problems worse. Such approaches can result in the transfer of
pollution from one medium to another. For example, in some cases, by requiring
hazardous air emission controls for industrial facilities, other problems might result, such
as pollutants being transferred to underground drinking water.
QUESTIONS AND RESOLUTIONS CONCERNING POLLUTION
PREVENTION AND ENVIRONMENTAL JUSTICE
The thread throughout the Principles of Environmental Justice, drafted at the First
National People of Color Environmental Leadership Summit in 1991, is a call for
pollution prevention. The Principles demand the "cessation of the production of all
toxins, hazardous wastes, and radioactive materials ..." (Principle 6.) They underscore a
right to "ethical, balanced and responsible uses of land and renewable resources in the
interest of a sustainable planet..." (Principle 4.) Nevertheless, without clear statutory
mandates or funding imperatives, both Pollution Prevention (P2) and Environmental
Justice (EJ) has been embraced slowly as core initiatives within government. Typically,
environmental justice and pollution prevention are among the first programs to lose
funding in a budget crisis. Both programs often garner marginal status in comparison to
programs with regulatory foundation, such as air, drinking water, and solid waste. As a
result, a marriage between the two programs is at times tenuous and even unattainable,
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but nonetheless important. Attainment could otherwise be realized by attaching the
principles of environmental justice and pollution prevention to programs with statutory
mandates and/or funding. Furthermore, the slow embrace has started to quicken:
Government and other stakeholders are implementing several key initiatives that are
aimed at supporting pollution prevention and environmental justice.
Yet another question arises when we consider how environmental justice programs and
pollution prevention programs are implemented. Environmental justice programs often
call for additional scrutiny where environmental-decision-making, permitting decisions,
environmental impact reports or other environmental review mechanisms relate to
disenfranchised communities. Most pollution prevention programs focus on broad public
benefits without respect to any particular community, race, or income. The goal of
pollution prevention is to prevent pollution for everyone, not a particular sector. Yet, it
can be argued that communities of color, low-income and disenfranchised communities
host facilities using the oldest technologies. Where these communities also carry a
disproportionate share of industrial facilities there should be a natural draw for pollution
prevention initiatives.
It is obvious that both environmental justice and pollution prevention appear to have
similar goals; however, their implementation can sometimes have divergent effects. For
example, pollution prevention strategies may be costly to small industries in communities
with perceived environmental justice concerns. The cost could force some business to
think about closure. Nevertheless, the benefits that can be derived from these pollution
prevention strategies far outweigh the perceived negative effects.
For instance, pollution prevention programs have resulted in improved health, social and
economic conditions, along with aesthetic improvements in the community. Currently,
some states are moving to support small business pollution prevention activities through
innovative projects such as Environmental Results Program (ERP) in Maryland. In this
context, the Maryland Department of Environment (MDE) encourages pollution
prevention as a tool to achieve compliance. This approach has proven to be very popular
among business interest and community members in the piloted Maryland community.
The use of pollution prevention as a tool to compliance and to promote environmental
justice is an example of how local, federal, and state governments, and industry, and
organizations can collaborate their efforts to attain desirable outcomes for all
stakeholders.
Additionally, pollution prevention, like environmental justice, is often difficult to
measure in terms those regulatory agencies and legislatures use to interpret the success or
efficacy of programs. Enforcement programs can tally dollars collected or actions filed.
Media-specific programs such as air, water, or waste can point to actual pounds of
pollution emitted or discharged, thereby gauging pounds of pollution reduced or
eliminated. It is difficult, on the other hand, to calculate totals for pollution prevented
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from entering the environment. In essence, this pollution never existed and therefore
cannot be measured. Similarly, it would be difficult to assign a numerical figure to the
number of facilities that are not sited in communities of color or low-income
communities. To fully quantify the positive impacts of pollution prevention and
environmental justice may require a significant shift in environmental regulation.
One approach for elevating environmental justice and pollution prevention on the EPA's
priority list may be to engage the Environmental Council of States (ECOS). ECOS is the
national non-profit, non-partisan association of state and territorial environmental
commissioners. ECOS touts the membership of the environmental commissioners of 51
of the 55 U.S. states and territories. Its mission is to champion the role of states in
environmental management through, among other methods, promoting state positions on
environmental issues to Congress, federal agencies, and the public. ECOS works with
EPA through EPA's Assistant Administrator for Congressional and Intergovernmental
Relations.
GOVERNMENTAL INTEGRATION OF POLLUTION PREVENTION AND
ENVIRONMENTAL JUSTICE
The United States Environmental Protection Agency (USEPA) has tried to encourage the
use of pollution prevention within environmental justice communities. Pollution
prevention was promoted as another available tool for use as these communities
addressed environmental concerns. The EJP2 Grant Program was established to promote
pollution prevention in environmental justice communities. EJP2 provided funding to
qualified applicants for pollution prevention projects in environmental justice
communities. Any non-profit, local, or tribal organization could submit an application
for funding. Applicants were required to demonstrate that they worked with affected
communities on pollution prevention initiatives and that they could garner substantial
community involvement. Organizations could also foster partnerships between local
industries and the environmental justice community. The EJP2 Grant Program was a
starting point for pollution prevention in several minority and low-income communities.
The program funding was eliminated in FY 2002. It is uncertain whether the program
will regain funding in the future.
This disproportionate exposure to environmental hazards in environmental justice
communities may be a result not only of industrial discharges but also of occupational
exposure.96 Pollution prevention is an effective tool in addressing both sources of
exposure. Sometimes a facility may claim that implementing pollution prevention
strategies may be costly and use this as an excuse for draconian actions (such as shutting
down). However, this may really result from the confusion between pollution prevention
and pollution control. This confusion can result in apparent tension between
96 Geiser, Ken Pollution Prevention and Environmental Justice: Some Cautions, July 2002
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environmental justice and pollution prevention, (note - good point but should be moved
for the flow)
Environmental justice and pollution prevention have complementary goals. However, the
implementation of pollution control technologies can have unintended impacts on small
business in environmental justice communities. For example, compliance with pollution
control legislation may be so costly to small business in an environmental justice
community that facilities choose to shut down. Thus, while the community may gain a
reduction in pollution, which consequently may result in an improvement in
environmental public health, they could also lose industry that may be vital for the
survival (employment and diversity) of the community. Nevertheless, pollution
prevention strategies, when implemented, can improve the efficiency and processes of
these facilities resulting in increased profitability. A successful pollution prevention
program can improve both environmental and economic performance. Pollution
prevention programs have proven to be effective tools to reduce the costs of
environmental management, occupational safety and health protection, environmental
compliance, insurance liability, raw materials, and energy. This array of benefits cannot
be achieved strictly by the use of control technologies.
The Pollution Prevention Act of 1990 (PPA) provides the federal statutory authority for
pollution prevention. Several states have enacted state legislation that mandates pollution
prevention planning and/or reductions in waste generation. Environmental justice has
federal statutory authority and remains largely voluntary on the state and local level.
Federal, state and local pollution prevention regulations act as regulatory tools to promote
the implementation of pollution prevention strategies and programs.
FEDERAL GOVERNMENT AND POLLUTION PREVENTION
Section 6602 (b) of the Pollution Prevention Act of 1990 established a national policy
that:
1. Pollution should be prevented or reduced at the source whenever feasible
2. Pollution that cannot be prevented should be recycled in an environmentally safe
manner whenever feasible
3. Pollution that cannot be prevented or recycled should be treated in an
environmentally safe manner whenever feasible
4. Disposal or other release into the environment should be employed only as a last
resort and should be conducted in an environmentally safe manner
This hierarchy of environmental management begins with reducing pollution at its
source. Source reduction perhaps allows for the greatest and quickest improvements in
environmental protection since it seeks to avoid the generation of waste and harmful
emissions. Additionally, the hierarchy includes recycling and other methods of dealing
98
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with waste after its generation. These four steps are all a part of sound environmental
management — recognizing that source reduction is not always feasible. The Pollution
Prevention Act requires industries to participate in pollution prevention. Section 13106
of the Pollution Prevention Act requires that every owner of a facility must annually file a
toxic release form for each toxic chemical released and to optionally include information
on reduction and recycling activities for the reporting period. Furthermore, the PPA
makes provisions for USEPA to provide matching funds for state and local pollution
prevention programs through the Pollution Prevention Incentive for States (PPIS) grant
program to promote pollution prevention techniques by businesses. These funds are also
used to support state pollution prevention program activities that include outreaches to
communities and local governments in addition to business and industry.
The four-step national policy for pollution prevention named in the Pollution Prevention
Act does not stand alone in its efforts to prevent and control pollution. Congress has also
passed several other pollution control regulations including:
• Emergency Planning and Community Right-to-Know Act (EPCRA)
• Toxic Substance Control Act (TSCA)
• Clean Air Act (CAA)
• Resource Conservation and Recovery Act (RCRA)
• Clean Water Act (CWA)
• Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA)
Waste minimization has been a priority under the RCRA hazardous waste program for
the EPA. Waste minimization is defined by the EPA as, "the reduction, to the extent
feasible of hazardous waste that is generated or subsequently treated, sorted, or
disposed."97 The Resource Conservation and Recovery Act (RCRA) establishes the
national policy on waste minimization. To facilitate RCRA implementation EPA
classifies facilities that generate hazardous waste into three categories:
• Large Quantity Generators
• Small Quantity Generators
• Conditionally Exempt Small Quantity Generators
A business is considered a large quantity generator if it generates more than 1000
kilograms (2,200 pounds) of hazardous waste per month. By signing a hazardous waste
manifest a facility certifies that they are taking steps to reduce the generation of
hazardous waste where economically feasible and that they have a waste minimization
97 Mounteer, Thomas R., The Inherent Worthiness of the Struggle: The Emergence of Mandatory Pollution
Prevention Planning as an Environmental Regulatory Ethic. Columbia Journal of Environmental Law.
1994.
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program in place. EPA provides additional guidance to verify the existence of this plan
for all three sizes of generators.
The Clean Water Act of 1977 (CWA) is another federal regulation that may be used to
support prevention pollution. Specifically, CWA regulates the discharge of pollutants into
U.S. waters, making it unlawful for any person to discharge a pollutant into any U.S.
body of water without a permit. Under CWA, the EPA also has the authority to set
wastewater standards for industry, thus controlling the concentrations of pollutants
discharged. CWA touches on pollution prevention through management and oversight of
what and how much of a pollutant goes into our water.
Similar to the Clean Water Act, the Clean Air Act of 1970 also provides opportunities to
promote pollution prevention through air quality management. The EPA is given the
authority under CAA to regulation the emission standards of several potentially
hazardous pollutants (examples: lead, oxides of sulfur, oxides of nitrogen, ozone and
carbon monoxide). Although the EPA must establish the national limits under the Clean
Air Act for potentially hazardous pollutants, it is primarily the states' responsibility to
enforce these limits. Some states enact laws with even stricter requirements for industry.
The Clean Air Act, thusly, ensures that nationally there is a minimal standard that all U.S.
industries meet. States with more stringent air pollution control statutes are free to
implement their programs as long as they at least satisfy the minimal standards set under
the Clean Air Act.
The Resource Conservation and Recovery Act, Clean Water Act, and Clean Air Act seem
to provide the best opportunities to support pollution prevention. However, the Federal
Insecticide, Fungicide, and Rodenticide Act (FIFRA) and Toxic Substances Control Act
(TSCA) also provide opportunities to encourage industrial pollution prevention. TSCA
governs the manufacture, processing, and release requirements for numerous chemicals
that could have potentially hazardous effects on human health and the environment.
FIFRA requires users of pesticides to take examinations to certify that they know how to
use pesticides in a safe, responsible, and non-hazardous manner.
Regulated entities that fail to comply with these statutes may be subject to penalties due
to civil and/or criminal enforcement actions. As part of an enforcement settlement, a
violator may voluntarily agree to undertake a Supplemental Environmental Project (SEP).
A SEP furthers the goal of protecting and enhancing the public health and the
environment, and does not include the activities a violator must take to return to
compliance with the law. Although the violator is not legally required to perform a SEP,
his cash penalty may be lower if he chooses to perform an acceptable SEP. The SEP
must, "improve, protect, or reduce risks to public health or the environment."98 The
violator must actually implement and complete the SEP that is proposed as part of the
98 "Supplemental Enforcement Projects." U.S. Environmental Protection Agency. 5 Aug. 2002.
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settlement action. In general, the Environmental Protection Agency (EPA) requires that
SEPs fall into of the following eight categories:
1. Public Health
2. Pollution Prevention
3. Pollution Reduction
4. Environmental Restoration and Protection
5. Emergency Planning and Preparedness
6. Assessments and Audits
7. Environmental Compliance Promotion
8. Other types of projects
A violator may also, as part of the SEP settlement, be encouraged to receive community
input into the nature of the project. Violators who voluntarily choose to participate in a
SEP must submit an itemized work plan for the implementation of the project. The
itemized work plan might include: project concept, net weight of pollutant to be reduced,
costs to implement plan, etc.
Federal statutes provide authority for pollution prevention activities. The statutes may be
combined with SEPs to further promote pollution prevention. The regulations and SEPs
are tools that can provide impetus to industry for responsible behavior that protects
human health and the environment. These tools help set industry-wide standards, make
permit limitations, and take enforcement actions.
The Pollution Prevention Incentive for States (PPIS)99 grant program aids the
establishment of state pollution prevention programs. This grant program has never been
funded at the level ($8 Million) proposed in the statute. The funds available under this
program must be equally (50%) matched by state funds or in-kind contributions. This
match differs significantly from that provided to mandated regulatory programs that have
to provide a 10% match. States may implement stricter industry standards (as appropriate
to their local area) and make enforcement actions (because they can oversee their local
industries more easily than the federal government). Since the establishment of PPIS, 49
states now have pollution prevention programs and 32 have enacted state pollution
prevention legislation* with some requirements. Several other states have legislation
with no explicit requirements.
The establishment of Pollution Prevention Incentive for States (PPIS) demonstrates the
federal government's reliance upon the states to aid in pollution prevention. Many of the
national policies on pollution prevention, including RCRA, CWA, CAA, FIFRA, and
TSCA leave to the states a lot of the implementation, enforcement, and opportunity to
99 EPA Pollution Prevention Incentives for States. Environmental Protection Agency. 19 July 2002.
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SUMMARY OF STATE POLLUTION PREVENTION LEGISLATION*
Legislation
State
Facility Planning Prevention
Other Pollution Requirements
Alaska
X
Arizona
X
California
X
X
Connecticut
X
X
Delaware
X
X
Florida
X
X
Georgia
X
Illinois
X
X
Indiana
X
X
Iowa
X
Kentucky
X
Louisiana
X
Maine
X
X
Massachusetts
X
X
1
Michigan
X
Minnesota
X
X
Mississippi
X
Missouri
X
New Jersey
X
New York
X
X
North Carolina
X
Ohio
X
X
Oregon
X
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enact regulations that are more stringent. The next section, will detail the states role in
pollution prevention.
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Pennsylvania
X
Rhode Island
X
South Carolina
X
Tennessee
X
Texas
X
Vermont
X
Virginia
X
Washington
X
X
Wisconsin
X
STATE GOVERNMENT AND POLLUTION PREVENTION
States have the opportunity to promote and encourage pollution prevention through
regulatory programs (permitting, compliance inspections, and enforcement actions) as
well as by acting as information clearinghouses-disseminating information about
pollution prevention; and establishing and supporting state pollution prevention
programs. Industries are required to meet federal, state, and local standards for pollution
control. All state standards must meet at least the federal standard, hence, for the majority
of industries compliance with state requirements means compliance with a more stringent
standard than that set out by the federal government. In most states, pollution prevention
remains a voluntary activity with no rules or regulations for enforcement.
The following are some examples of state pollution prevention legislation:100
State
Pollution
Prevention
Legislation
Goal
Operation
California
Massachusetts
Hazardous Waste
Source Reduction
and Management
Review Act of 1989
Toxics Use
• Source reduction by
large quantity
generators
• Reduction of
hazardous wastes
by 5% from 1993-
2000
• Waste reduction by
• Source reduction
evaluation and plan
• State provides
technical assistance
• Establishment of
100Yurcich, Stefanie, National Pollution Prevention Roundtablc. 1997. http://www.p2.org/nppr_leg.html.
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State
Pollution
Prevention
Legislation
Goal
Operation
Reduction Act of
regulation of toxic
Toxic Use
1989
waste generation
Reduction Institute
• 1/2 reduction of
for technical
toxic waste
assistance to
generation by 1997
industries
• Report Toxic
Substance Report
and Toxic Reduction
Plan
New Jersey
Pollution
• To shift from
• Requires reporting
Prevention Act
industry pollution
• State offers technical
(1991)
control to pollution
assistance
prevention
• Funding provided by
• Reduction of
the Pollution
hazardous waste
Prevention Fund
and discharge by
1/2 over 5 years.
Virginia
Pollution
• Voluntary pollution
• Information and
Prevention Act
prevention through
technical assistance
(1994)
incentives and
provided by the state
technical assistance
• Incentive: waste
for industry
generator reduction
generators
planners more easily
comply with
environ-mental laws.
1
2 Most states set their goals for pollution reduction and then set out a plan to achieve that
3 goal. Some states require industries to report that they comply with the regulations, as
4 well as reporting that they have a plan to reduce waste reduction. Many states have added
5 technical assistance as one of the key components to helping industries reduce waste.
6 This technical assistance is partially funded through PPIS and this service is often
7 provided to industry at no additional cost.
8
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Adopting pollution prevention practices and techniques often benefits industry by
lowering a company's operational and environmental compliance costs. By preventing the
generation of waste, pollution prevention can also reduce or eliminate long-term
liabilities and clean-up costs. PPIS grants are usually awarded in support of the program
areas of technical assistance, technical training, education and outreach, regulatory
integration, demonstration projects, legislation and infrastructure, and awards and
recognition. 101 Three of the four states in the above chart provide technical assistance to
businesses.
By preventing pollution, there is a greater likelihood that a company will comply with
local, state, and federal compliance statutes. Virginia's program provides financial and
regulatory incentive for businesses that implement pollution prevention strategies and
practices that promote sound environmental management. Virginia uses this voluntary
pollution prevention/incentive plan to encourage industry not to only comply with
existing rules and regulations but often to go beyond compliance in pursuit of
environmental excellence. An incentive program like Virginia's may provide a more
proactive approach to pollution prevention.
LOCAL GOVERNMENT AND POLLUTION PREVENTION
The federal government recognizes that states are often in a better position to oversee
their industries and can adopt more stringent pollution control legislation, as applicable
and pertinent to their industries. Local governments are also a key element in pollution
prevention and control as their scope is narrower than that of the states'.
Local government may provide resources for pollution prevention to both industry and
the community. Some examples:
• Montgomery County in Maryland developed an EcoWise Program for Small
Quantity Generators of Hazardous Waste (less than 100 kilograms -220 pounds -
of hazardous waste in a calendar month). The program seeks to reduce the
hazardous waste output of small quantity generators and address issues of waste
management. Federal regulation allow for facilities that fall into this category to
transport the hazardous waste to a permitted facility. EcoWise provides a monthly
onsite hazardous waste collection. 02
101 EPA Pollution Prevention Incentives for States. Environmental Protection Agency. 19 July 2002.
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102 "Pollution Prevention Toolkit BrochureLocal Government Pollution Prevention Toolkit. May 1998.
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• King County, Washington established the EnviroStars program. The goal of the
EnviroStars program is to give business incentive and recognition for reducing
hazardous waste, while giving consumers an objective way to identify
environmentally sound businesses. Envirostar uses a two to five star rating
system. This program has received national recognition and has been adopted and
modified by local governments in Washington and other states.
• In Allegheny County, Pennsylvania, the local government has adopted and
modified the EnviroStars Program. The program is recognizes industries that
implement pollution prevention practices and strategies. The program
acknowledges three levels of excellence in pollution prevention. To meet any of
the three recognition levels, an industry must go beyond the minimum regulatory
requirements.
• The Florida Hazardous Waste Management Program. This program provides
pollution prevention training for local governmental agencies. The training assists
in the development of a local pollution prevention program and provides
necessary training for local industries.1 3
• California's Consortium of Pollution Prevention Committees has joined in on the
pollution prevention effort. This organization is comprised of chairpersons of
local voluntary pollution prevention groups. The committees organized the first
National Pollution Prevention Week. During this week local government,
environment, economic development programs, industry trade associations and
environmental groups sponsor numerous events. The events focus on highlighting
pollution prevention as a "way of doing business." Local government agencies
"implement the activities such as pollution prevention workshops, 'model'
facilities tours, storm drain stenciling, award programs, special training sessions,
and resolutions and proclamations."104
In addition to training, recognition, and waste management, local governments also aid in
the enforcement of local ordinances, promote recycling programs, and collaborate with
communities in reducing pollution. Other local governmental agencies disseminate
information to schools, newspapers, and households.
These examples demonstrate that local governments are an effective, and essential,
partner in reducing pollution. Local governments can effectively collaborate with the
state and federal agencies as well as local industries to support and promote pollution
prevention.
10j "Pollution Prevention." Florida Department of Environmental Protection. 19 July 2002.
.
104 "National P2 Week." California Department of Toxic Substance Control. 19 July 2002.
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TRIBAL GOVERNMENT AND POLLUTION PREVENTION
The concept of environmental justice can be difficult to apply to situations arising within
Indian reservations. In most EJ cases, there are several kinds of entities involved,
typically at least: a community comprised of minority and/or low-income people; a
business that either wants to do or is doing something that causes environmental impacts
that the community wants to prevent or stop; and a government agency that has
permitting or other regulatory authority. Often there is more than one entity of one or
another of these categories, for example, both a state and a federal agency, or more than
one minority community that is up in arms.
In Indian country, the tribe might fit into all three of these categories. The people who
comprise the tribe might be seen as an EJ community, in that they are generally
considered an ethnic minority (and perhaps a racial minority) and most of the families
may also be low-income. The tribe is, of course, also a sovereign government, and as
such may exercise regulatory or permitting authority over the facility that would cause
(or is causing) the environmental impacts that the community wants to stop. It is likely
that, in addition to the tribe, a federal government agency or two also has some authority
over the facility, but the tribe's status as a sovereign government is always an important
factor in dealing with polluting facilities within reservation boundaries.
So, the tribe is the EJ community and the tribe is also a government with some measure
of authority over the facility. In addition, the tribe may also be the business that operates,
or seeks to operate, the polluting facility. The tribe might do this through a tribal
enterprise or through a joint venture with a private business. Sometimes the tribe's role
as owner/operator may be through a governmental institution, for example a utilities
department that operates facilities such as wastewater treatment plants and landfills.
In non-Indian America, governments may also be involved on both sides of the
regulatory regime, that is, as regulators and as operators of regulated facilities. There are
usually some pretty well established walls, though, between government agency as
regulator and government agency as proponent or operator or funder of regulated
facilities. In Indian country, the distinctions between tribe as regulator and operator of
regulated facility are often less clearly drawn and may be hard to maintain. Tribes, after
all, are generally rather small communities, and community leaders often wear more than
one hat. Moreover, people who perform roles in the tribe as government generally also
perform important roles in the tribe as a community.
For a more detailed treatment on tribal governments, please refer to Chapter 4, Tribal
Perspectives.
107
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Governmental Partnerships
The Environmental Council of the States (ECOS) exemplifies another governmental
effort/partnership. ECOS was formed as a non-profit organization "to improve the
environment of the United States." This goal would be accomplished through:
• Being a champion of the states' role in environmental management
• Providing for the exchange of ideas, views and experiences among states
• Fostering cooperation and coordination in environmental management
• Articulating state positions on environmental issues to Congress, federal agencies
and the public
ECOS "conducts research on federal environmental programs that have been delegated to
the states, state contributions to federal environmental databases, state environmental and
natural resource funding, and state contribution to enforcement and compliance."105
ECOS has catalogued the research and reporting done by the various states and facilitates
the dialogue on environmental management between the states. As noted earlier the
states are mainly responsible for support and encouragement of both pollution prevention
and environmental justice. It is imperative that ECOS, as a facilitator of state dialog and
cooperation, be a contributing partner in the promotion and integration of environmental
justice and pollution prevention in state programs.
The National Environmental Performance Partnership System
The purpose of the National Environmental Performance Partnership System (NEPPS) is
to improve and strengthen the State/Federal relationship and to improve environmental
performance. Under NEPPS, the USEPA identifies environmental goals and then the
states decide how those goals may best be attained. NEPPS establishes a partnership
between the states and EPA and facilitates dialogue and planning. The majority of states
participates in NEPPS with either Performance Partnership Grants (PPG) or Performance
Partnership Agreements (PPA) and uses this as a platform to leverage resources and
maximize possible environmental protection and results. NEPPS identified core
performance measures for environmental results. The states have assessed under NEPPS
that three pieces of information are necessary to measure the environmental results of a
program. The three information pieces are:
1. Environmental indicators
2. Program outcomes
105 5 Aug. 2002.
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3. Program outputs106
Each of the three information pieces provides the states and EPA with different
measurable outcomes. The compilation of the performance measures (collected
throughout the 50 states) provides a national picture of environmental protection and will
initiate insights on measures that can be taken in the future to improve environmental
programs. The integration of pollution prevention and environmental justice into NEPPS
performance measures may be a desirable step in the future.
Compliance and Technical Assistance
Along with pollution prevention technical assistance programs, a number of states, and
EPA, have implemented cooperative programs for compliance assistance. Cooperative
programs work by aiding local communities, business, and industry in complying with
the environmental regulations. Examples:
• In FY 2001 USEPA developed a Compliance Assistance Activity Plan inventory
of 368 projects that focused on compliance assistance tools for new regulations
and for existing regulations that presented compliance problems. The Plan also
included activities that provide information to help the regulated community
understand their regulatory obligations. USEPA developed compliance guides
and other compliance assistance tools. These included technical guides, self-audit
checklists and protocols, applicability flowcharts and expert systems.
Additionally, the Plan provided overviews of laws/regulations, best management
practices, guidance documents, and outreach opportunities such as training,
seminars/workshops, mailings, hotlines, and new websites.107
• The Park Heights Auto Repair Project in Maryland seeks to assist auto body and
mechanical repair facilities in complying with statewide legislation. Auto body
shops are given an opportunity (voluntarily) to disclose to the state those
regulations with which they are not compliant. The MDE then spends a year
teaching the project participants about environmental regulations and what must
be done to comply with the law. At the end of this technical assistance period, all
shops must comply with the regulations.
• The Compliance Assistance and Waste Reduction Program for Metal Finishing
Facilities in Oklahoma City. This program provided technical and compliance
assistance to metal finishing job shops in Oklahoma City. Voluntarily
participating facilities were inspected to determine areas of noncompliance and
'""Addendum to 1997 Joint Statement on Measuring Progress under NEPPS: Clarifying the use and
Applicability of Core Performance Measures." ECOS. 5 Aug. 2002.
.
107
Compliance Assistance Activity Plan Fiscal Year 2001, EPA 305-R-01-002 April 2001
http://www.epa.gov/Cornpliance/resources/publications/assistance/planning/activityplan.pdf
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then assigned a "facility manager" who worked closely with the facility to provide
education and assistance for waste reduction and compliance. There was no
enforcement and participants were excluded from routine inspections while in the
program. At the end, there was a full regulatory inspection to determine
compliance with applicable rules and regulations and to provide a measure of
success.
There are similar programs in every state. Some focus on industrial sectors and others on
industrial processes. Some have a geographical focus. These programs provide
invaluable support to participating facilities helping them to improve processes and
increase efficiency. When these programs concentrate on environmental justice
communities, then there is the added bonus of community involvement and everyone
wins.
Another cooperative grant assistance program is the National Industrial Competitiveness
through Energy, Environment, and Economics (NICE3). NICE3, sponsored by the U.S.
Department of Energy (DOE), sponsors an innovative, cost-sharing program to promote
energy efficiency, clean production, and economic competitiveness in industry. Through
NICE3 state and industry partnerships can receive financial support for demonstration
projects for advances in energy efficiency and clean production technologies.108
The Environmental Leadership Programs (ELP) is a program that trains and supports
(through grants and networks) emerging environmental professionals109. Selected
applicants are provided with leadership training and they are then more able to share the
knowledge gained with their communities.
Cooperative Programs can also be found on the local level. Local government and
organizations collaborate with industry to provide assistance and education and reduce
pollution. Some examples are:
• The Montgomery County, Maryland auto body initiative
• The Jefferson, King, Kitsap, Pierce, Snohomish, and Whatcom Counties
EnviroStar Programs
• The Albuquerque, New Mexico Silver Management Program
These partnerships have developed compliance manuals, checklists, self-audit
handbooks, best management practices, videos, CDs, etc.
Refer to Appendix III for additional information on governmental, voluntary and other
partnership programs.
108 NICE3, U.S. Department of Energy, Office of Industrial Technology, http://www.oit.doe.gov/nice3/
109 Environmental Leadership Program. 19 July 2002. .
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POLLUTION PREVENTION AND PERFORMANCE MEASUREMENT
Regulations, voluntary initiatives, and cooperatives provide the framework for pollution
prevention. Applicants for funding of pollution prevention projects are required to
comply with criteria that show partnership, a probability of success, measures of success,
and collaboration with mandatory programs. Pollution prevention success and the
success of pollution prevention programs may be measured in several ways. It is
particularly important to use a consistent ways to measure the impacts of pollution
prevention and compliance assistance efforts. These measurements can be used to:
• Effectively communicate the activities and accomplishments of the state and local
agencies to policy makers
• Improve program management
• Measure progress toward goals
• Provide those who fund programs with relevant activity and outcome information
• Influence policy development
One method for measuring success is mathematical. This means that the amount of a
particular pollutant (pounds, gallons, grams, etc.) is measured at an initial point and then
again at some future date. If the pollutant has decreased, then pollution prevention (or
reduction) has been successful.
This method is used by many states to determine the success of pollution prevention
because it is simple. This mathematical formula for measuring pollution
reduction/prevention can provide a "snapshot" at a particular location but does not
provide a national picture. Generally, these initial measurements are available when
there is an enforceable regulatory requirement for industries to report. Many facilities are
not regulated. Secondly, there is a gap in the data if regulated industries are not required
to report the specific information. The National Environmental Performance Partnership
System (NEPPS) has attempted to improve this scenario by creating core performance
measures. However, there is still no conclusive national picture of accurate measures of
pollution prevention success.
Pollution prevention reduces or eliminates pollution. Changes in behavior of
government, industry, communities, and organizations are essential to attaining this goal.
These behavioral changes are facilitated by an increase in knowledge about pollution and
waste minimization, general environmental awareness, and public participation. The
simple mathematical formula outlined above does not include these factors.
Additionally, the method does not determine the reason for a decrease in pollution. For
example, the reduction in pollution could be a result of lower production volume and not
a systematic plan for reduction. The need to comply with environmental regulations is
also one of the primary factors that can incentivize a company to invest time, effort, and
resources in preventing pollution. Threats of fines, the danger of inviting additional
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paperwork, and concerns control and possible "jail time" contribute to this motivation.
However, regulatory requirements provide influence only in cases where pollution is a
regulatory issue. A different instrument may be necessary for measuring behavior,
knowledge, and awareness.
A survey is one way to assess behavior, knowledge, or awareness. If the survey
questions are properly framed the survey could gather valuable information to assess the
attitude, behavior, and education of a community to pollution prevention. In
environmental justice communities, a "quality of life" survey could be used. This
"quality of life" survey could be used before and after implementation of pollution
prevention legislation or voluntary initiatives, to determine and perceived changes in
"quality of life." A quality of life survey could address the aesthetics of the community,
the status of health in the community, as well as the environmental education of
community members. Maryland has proposed the use of quality of life survey as a tool
for measuring the success of its ERP.
Education can also be measured by K-12 curricula to determine the extent of integration
of environmental issues. A much more difficult measure is health of the community.
Although a pollution prevention program may contribute to improving public health,
assessing this impact requires careful planning and support of the public health agencies.
Hence, several methods can demonstrate that pollution prevention is a success. The
method that most states have chosen is to look at net reduction of waste. However,
looking at behavior, community involvement in environmental projects, and education
can also measure success.
POLLUTION PREVENTION MODEL
For most governmental agencies pollution prevention is voluntary and the result of a very
dynamic and fluid process. It requires flexibility, innovation, partnerships, and
commitment. However, no pollution prevention project will ever make it beyond "being
a good -even great-idea" unless the person who makes the decision about whether to
implement a pollution prevention project is convinced of the need as well as the benefit
of doing so. A viable pollution prevention program recognizes that decision makers in
business and industry are influenced by both environmental and financial factors when
they consider whether to implement a project.
Environmental factors
• Regulatory requirements
• The need to do the "right thing"
Financial factors
• The bottom line
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• Gross revenue
• Quality/ Quality control
• Production
• Public relations
• Maintaining the "status quo"110
Environmental justice communities consider public relations as a top priority but it is
only one of a list of factors that decision makers use. Sometimes these public relations
considerations can be the biggest influence for government-operated facilities and
chemical manufacturers. In the case of small business, it may be a lesser consideration.
This difference in priorities must be addressed when "selling pollution prevention."
An effective pollution prevention program must have:
1. The support of key decision makers
a. Determine the appropriate motivator to use when promoting a pollution
prevention project
b. Identify those features of the project that appeal to this motivation
c. Present the project to the decision maker with these features in mind
2. Defined scopes, objectives, and goals
a. Set specific goals and priorities with all stakeholders
b. Develop a clear understanding of the regulatory requirements
i. What is required?
ii. What requires "going beyond compliance?"
3. A means of evaluating options for technical and economic feasibility
4. Necessary and relevant training and education for all stakeholders with evaluation
and feedback for continuous improvement
5. Funding
6. A method for tracking progress
a. What is to be measured?
b. What is an acceptable baseline?
c. What is an acceptable timeline?
d. Accountability/transparency
7. Recognition/Incentives
8. Documentation of the process and the results
9. The results can be used to help provide a more complete picture for the local
population and to contribute to a statewide, and national, database of pollution
prevention efforts and results. The compilation of results into national, statewide,
and local databases can aid in the development of new legislation (if necessary)
problem areas, or to differential oversight for some facilities, or the repeal of
legislation where it is no longer necessary or effective.
110 Hillenbrand, Steve. "Selling P2", Pollution Prevention Review, Summer 2001
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CONCLUSION
There are some innovative pollution prevention activities underway at the EPA such as
the Persistent, Bioaccumulative, and Toxics (PBT) Initiative, expansion of Right-to-
Know requirements, and the promotion of environmental management systems (EMS).
The federal government has played a major role as an enabling partner in pollution
prevention. Regulations on the federal, state, local, and tribal levels help provide the
framework through which industry, community, and government can work together to
reduce and/or eliminate pollution. Through governmental partnerships, regulation,
training, leadership, voluntary, and other programs, stakeholder groups can address:
• Goals for pollution prevention
• Industry and community concerns
• Effective pollution prevention strategies
Continued partnerships may be used to advance the complementary goals of pollution
prevention and environmental justice. There are many opportunities within the existing
regulatory framework for integration of pollution prevention and environmental justice
ethic and rhetoric. Additionally, this integration may be applied to other partnership
agreements such as NEPPS, PPIS, and other voluntary programs.
The role of ECOS should not be understated. The implementation of these voluntary
initiatives happens on the state level. Without ECOS support the task of creating, and
sustaining, effective pollution prevention and environmental justice programs are almost
insurmountable. ECOS must demonstrate its commitment and support and must be an
advocate on behalf of states for continued and sustained funding for these programs.
ECOS could provide assistance to the states in formulating processes for incorporating
environmental justice considerations into permitting and other environmental decision-
making.
Currently all states have some type of pollution prevention program. The important issue
is lack of funding and support for pollution prevention on both state and national levels.
Although there are some federal funding mechanisms for pollution prevention and
environmental justice the sums available are inadequate and continually in danger of
elimination.
However, even with this limited support pollution prevention programs have used every
creative means necessary to grow and direct many successful endeavors. Many of these
activities, though not specifically aimed at an environmental justice community,
nonetheless, have provided benefit to these communities. This benefit is a result of
assistance and support to facilities located in and around these communities. This
assistance helped these facilities improve both environmental and economic performance;
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helping to protect economic and public health. Admittedly, there is still much work left
to do.
EPA must continue to set environmental outcome goals. EPA must then empower states,
local and tribal governments to promote pollution prevention by allowing flexibility to
achieve the goals using a variety of approaches— pollution prevention planning,
technical assistance, multi-media permitting, command and control, etc. States' efforts
can be evaluated by their achievement of the environmental outcome goals rather than the
practice of mandated methods. The states must then be supported in:
• Developing mechanisms for integrating pollution prevention and community
outreach on environmental justice issues at the earliest feasible stage. For
example, in the permit application process this would happen when permit
applicants meet with agency staff at pre-application conferences.
• Use technical screening tools, Geographic Information Systems, Toxic Release
Inventory data, and other information resources to help the regulated community
identify potential environmental justice issues at the earliest feasible stage.
A pollution prevention program, whether federal, state, local, tribal, regional, or
volunteer community organization based, can be effective as a collaborative effort to stop
pollution. In order to do this, goals and objectives must be realistic and all stakeholders
should be involved in developing the strategies to be used in accomplishing the goals.
Pollution prevention provides a way of escaping the ever-increasing costs of pollution
control. Effective pollution prevention programs are "win/win" situations. These
programs help facilities reduce overall costs and provide economic benefit to the
community.
Pollution prevention, once espoused as antithetical to environmental justice, is decidedly
important for the attainment of sustainable and environmentally just communities.
Unmistakably, environmental justice and pollution prevention advocates are recognizing
the benefits of enacting these programs concomitantly for the revitalization of
environmental justice communities. Government understands this and will continue to
support, enable, and take its lead based on the currencies that emerge from communities,
industries, and other stakeholders toward the betterment and revitalization of
communities across the United States.
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APPENDICES
Appendix I: Current Pollution Prevention
MANDATES IN FEDERAL STATUTES
Appendix II: Pollution Prevention
Partnership Programs
Appendix III: Pollution Prevention Work
Group Members
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Appendix I - Current Pollution Prevention
Mandates in Federal Statutes
Federal Act
Pollution Prevention Act
(PPA)
Clean Air Act (CAA)
Section
13103
13104
13105
13106
7402
7403
7405
7412
7414 and 7418
Subchapter I,
Part C Sec
7470-7479
Subchapter II
Pollution Prevention Mandate
EPA mandated to develop and implement a
strategy to promote source reduction.
EPA as administrator is given the authority
to provide grants to the States to promote
source reduction by businesses
EPA mandated to establish a database that
contains information on source reduction.
Owners and operators of businesses that
are required to file a toxic chemical release
form must include a toxic reduction and
recycling report
Encourages cooperation amongst the
federal departments, states, and local
governments for prevention and control of
air pollution.
EPA mandated to establish a national
research and development program for
prevention and air pollution control.
Also, EPA must facilitate coordination
amongst air pollution prevention and
control agencies.
EPA can make grants to air pollution
prevention and control agencies.
Facilities that reduce their emission of
toxics into the air by 90-95% can qualify
for permit waivers.
EPA may establish record keeping,
inspections, and monitoring for all
facilities that emit pollutants.
Prevention of significant deterioration of
air quality-establishment of a plan that
includes emissions limitations to protect
public welfare and the environment.
General emissions standards
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Federal Act
Emergency Planning and
Community Right to Know
Act (EPCRA)
Resource Conservation
and Recovery Act
(RCRA)
Section
11001-11005
11021-11022
11023
6907
6908a
6921-6925
6927
6931
6981
Pollution Prevention Mandate
Emergency planning requirements for
pollution and fire control. Provides
substances and facilities covered under this
act.
Facilities covered under EPCRA must have
ready Material Safety Data Sheets for all
chemicals (MSDS) and must complete
hazardous chemical inventory forms.
Owners and operators of facilities covered
under EPCRA must complete a toxic
chemical release form.
EPA must establish waste management
guidelines.
EPA may assist Indian tribes in waste
management.
6921: Hazardous Waste requirements
established for owners and operators of
facilities that produce hazardous wastes.
Under 6922: Generators must certify in
shipping manifests that they have a plan to
reduce waste. They must also submit a
biennial report indicating their efforts to
reduce volume and toxicity of wastes.
6925: Permit required for treatment and
storage of hazardous wastes.
EPA can make facilities describe their
waste reduction program and inspect them
to determine whether a program is actually
in place.
Grants appropriated to the States for
assistance in development of Hazardous
Waste Programs.
EPA shall render financial assistance to
federal, state, and local agencies that are
researching, investigating, or providing in
areas of waste management and
minimization.
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Federal Act Section
Pollution Prevention Mandate
Clean Water Act (CWA) 1251
1252
1256
1342
1381
Federal Insecticide, 136
Fungicide and
Rodenticide Act
(FIFRA)
National Environmental 4331
Policy Act (NEPA)
4363
4363a
4368a
4368b
National goal is to eliminate the discharge
of pollutants into navigable waters.
EPA mandated in cooperation with federal
state, and local agencies and industries to
develop programs for preventing, reducing,
or eliminating the pollution of the
navigable waters and ground waters and
improving the sanitary condition of surface
and underground waters.
Appropriation of funds to state and local
agencies for pollution control.
EPA can put additional restrictions on
permits (not included in the act).
EPA given authority to make grants to
states for pollution control revolving fund
for implementation of management and
conservation plans.
All pesticides and pesticide establishments
must be registered. Non-registered
pesticides may not be sold or distributed in
the U.S.
Congress recognizes
"the profound impact of man's activity on
the interrelations of all components of the
natural environment."
EPA shall establish a program for long -
term research for all activities listed under
NEPA.
EPA mandated to conduct demonstrations
of energy-related pollution control
technologies.
Utilization of talents of older Americans in
projects of pollution prevention,
abatement, and control through technical
assistance to environmental agencies.
Provide technical assistance to Indian
Tribes for environmental assistance on
Indian lands.
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Appendix II - Pollution Prevention
Partnership Programs
INDUSTRY PARTNERSHIPS
Government has collaborated with industry in a number of widely recognized programs.
The partnership between federal, state, and local government and industries provides the
opportunity for collaboration in developing solutions that address pollution prevention,
control, and environmental regulations. The partnership facilitates pollution prevention
by creating common ground for government and industry. The following are a few
partnership programs.
Program
Goal
How it Works
Project XL
111
To obtain a partnership
between stat e and local
governments, businesses and
federal facilities with the EPA
in order to develop strategies
for environmental protection
8 selection criteria including:
o Production of better
environmental results
than those that can be
achieved through
regulations
o Production of benefits
(money savings,
regulatory flexibility,
incentives, etc.)
o Support by stakeholders
o Achieve pollution
prevention
o Transferable lessons
o Demonstrate feasibility
o Establish accountability
(reporting, monitoring,
evaluations)
o Avoid shifting risk
111 "Project XL: What is Project XL?" U.S. Environmental Protection Agency. 19 July 2002.
.
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Program
Goal
How it Works
Common Sense
Initiative112
Partnership with
representatives from
federal, state, local
governments, community-
based and national
environmental groups,
environmental justice
groups, labor, and
industry with the EPA to
examine environmental
requirements impacting
the following industries,
o Car manufacturing
o Computers/Electro
nics
o Iron/Steel
o Metal finishing
o Petroleum refining
o Printing
Reduction of costs and burdens
of compliance with air
regulations in manufacturing
sector.
Developing new ways to
address iron/steel cleanup.
Making it easier for computers
and electronics sector to
achieve pollution prevention
Other projects relating to
specified industries.
Performance
Track113
Green Star
114
Public/private partnership
To recognize and
encourage top
environmental performers
To go beyond compliance
with regulatory
requirements
To attain levels of
environmental
performance that benefit
people, communities, and
the environment
Encouragement of
businesses to practice
waste reduction through
pollution prevention
Facilities must have:
Adopted and implemented an
environmental management
system (EMS)
Commit to improving their
environmental performance
Commit to public outreach and
performance reporting
Have a record of sustained
compliance with environmental
requirements
Education
Technical Assistance
Award Programs
112"EPA's Common Sense Initiative (CSI)." EnviroSense. 19 July 2002.
.
113 National Environmental Performance Track. August 14, 2002. http://www.epa.gov/performancetrack.
114 Green Star. 19 July 2002. .
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VOLUNTARY PROGRAMS
Regulatory initiatives are not the only method in which industry, federal, state, and local
governments can team up to prevent pollution. There are several voluntary programs that
are also out to promote pollution prevention and get industry and the community
involved. The following are some examples of voluntary pollution prevention programs.
Program
How it Works
Green Building Programs115
• Promotes environmentally friendly
construction of buildings
• Providence of environmentally friendly
homes.
• Promotion of homes meeting environmental
criteria.
• Technical assistance/training
Energy Star116
• Offers consumers and businesses energy
efficient solutions
• Solutions save money and provide for
environmental protection.
WasteWise117
• Open to all organizations
• Promotes waste reduction through municipal
solid waste elimination
• Flexible — allows partners to design their
own solid waste reduction programs tailored
to their needs
Waste Prevention118
• Involves altering the design, manufacture,
purchase, or use of products
• Reduce the amount and toxicity of waste
• Helps shift the nation's emphasis from
pollution cleanup to pollution avoidance
115 "Community Green Building Programs." U.S. Department of Energy. 19 July 2002
.
116 Energy Star. 19 July 2002. .
1.7 Waste Wise. 14 August 2002. http://www.epa.gov/wastewise/about/overview.htm
1.8 Waste Prevention. 14 August 2002, http://www.epa.gov/epaoswer/non-hw/reduce/Drevent.htm
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OTHER PROGRAMS
The federal, state, local, and non-profit plans for pollution prevention and environmental
protection provide important regulations and strategies to reduce pollution. The
identification and implementation of opportunities for pollution prevention integration in
these regulations, plans, and strategies is critical to the success of all pollution prevention
programs. To ensure the success of pollution prevention programs, government and other
agencies must encourage and promote innovation (innovation of pollution-prevention
technologies, innovation of pollution prevention methodologies, etc) and education. A
key component to compliance is understanding why and how pollution control is
imperative. Community leaders, "champions," should be identified and trained so that
they can promote the importance, implications, significance, and benefits of pollution
prevention in their communities.
Compliance assistance should be provided for small businesses and the non-regulated
community to aid in understanding the regulations and beneficial pollution prevention
practices. Promotion of innovation, fostering pollution prevention education, and training
pollution prevention "champions" is costly. Funding support is crucial to the success of
this plan. Pollution prevention and environmental justice have traditionally been referred
to as federal priorities but have not been awarded sufficient and consistent budget
appropriations to support full implementation and success. The adequacy of funding,
innovation, education, and leadership are paramount for the success of the partnership
between government and industry in thwarting pollution.
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Appendix III - Pollution Prevention Work
Group Members
DESIGNATED FEDERAL OFFICER
Sharon L. Austin (P2 Work Group)
Office of Pollution Prevention and Toxics
U.S. Environmental Protection Agency
1200 Pennsylvania Ave. NW (MC7406M)
Washington, DC 20460
Phone: (202) 564-8523
Fax: (202) 564-8528
E-mail: austin.sharon@epa. gov
Charles Lee (NEJAC DFO)
Associate Director for Policy and Interagency
Liaison
Office of Environmental Justice
US Environmental Protection Agency
1300 Pennsylvania Ave. NW
Washinton, DC 20460
Phone: 202-564-2597
Fax: (202)501-1163
E-mail: lee.charles@epa.gov
Work Group Members
* Denotes Liaison to NEJAC subcommittee
Nicholas Ashford
1 Amherst Street
Cambridge, Massachusetts 02139 4307
Phone: 617-253-8973
fax:617-253-7140
E-mail: nashford@mit.edu
Charles (Chuck) Bennett, PhD
Senior Research Associate
Global Corporate Citizenship/
Townley Global Management Center
The Conference Board
845 Third Avenue
NY NY 10022-6679
Phone: 212-339-0356
fax: 212-836-9717 (Fax)
E-mail: chuck.bennett@conference-board.org
CO-CHAIRS
Wilma Subra
LEAN Representative
Subra Company, Inc.
P. O. Box 9813
3814 Old Jeanerette Rd.
New Iberia, LA 70562
Phone: (337)367-2216
Fax: (337)367-2217
E-mail: SubraCom@,aol.com
Kenneth J. Warren, Esq.
Chair of Environmental Department
Wolf, Block, Schorr and Solis-Cohen
1650 Arch Street, 22nd Floor
Philadelphia, PA 19103
Phone: (215) 977-2276
Fax: (215) 977-2334
E-mail: kwarren@wolfblock.com
Sue Briggum
Director of Environmental Affairs
Waste Management
601 Pennsylvania Avenue, NW
North Building, Suite 300
Washington, DC 20004
Phone: 202-639-1219
Fax: 202-628-0400
E-mail: sbriggum@wm.com
Robin Morris Collin
PO Box 3185
Eugene, Oregon 97403
Phone: (541) 607-1072
Fax: 541-607-1072
E-mail: homemoio@aol.com
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Veronica Eady, Esq. *
Department of Urban and Environmental
Policy and Planning
Tufts University
97 Talbot Avenue
Medford, MA 02155
Tel. (617) 627-3394
Fax (617) 627-3377
E-mail: veronica.eady@tufts.edu
Ken Geiser
Massachusetts Toxics Use Reduction Institute
University of Massachusetts
Lowell, MA 01854
Phone: 978-934-3275
Fax: 978-934-3050
E-mail: kgeiser@turi.org
Tom Goldtooth
Indigenous Environmental Network
P. O. Box 485
Bemjidi, MN 56619-0485
Phone: (218)751-4967
Fax: (218)751-0561
E-mail: ien@.apc.ipc.org
LeAnn Herren
Industrial Ecology Program
University of South Carolina
School of the Environment
7th floor Bumes Building
Columbia, SC 29298
Phone: (803)777-9061
Fax: (803)
E-mail: herren@environ.sc.edu
Debra Jacobson
Executive Director
Great Lakes Regional P2 Roundtable
1010 Jorie Blvd, Suite 12
Oak Brook, IL 60523
Phone: (630) 472-5019
Fax: (630) 472-5023
djacobso@wmrc.uiuc.edu
Neftali Garcia Martinez
Scientific and Technical Services
RR-2 Buzon
1722 Cupey Alto
San Juan, Puerto Rico 00926
Phone: (787) 292-0620
Fax: (787) 760-0496
E-mail: sctinc@coQui.net
Keith McCoy
Director, Environmental Quality
National Association of Manufacturers
1331 Pennsylvania Ave, NW Suite 600
Washington, DC 20004
(202) 637-3175
(202) 637-3182 (fax)
E-mail: kmccoy@nam.org
Tierson Moreno
Farmworkers Association of Florida
815 South Park Avenue
Apopka, FL 32703
(407) 886-5151
(407) 885-6644 (fax)
E-mail: tirsomoreno@hotmail.com
Theresa Peterson
3M Corporation
1101 15th Street NW
Suite 1100
Washington, DC 20005
Phone: (202)331-6949
E-mail: thpetersonl@mmm.com
Coleen Poler *
Mole Lake Sokoagon Defense Committee
RR 1 Box 2015
Crandon, WI 54520
Phone: (715)478-5033
Fax: (715)365-8977
E-mail: polersdc@.newnorth.net
Andrew Sawyers, PhD
Community Planning and Environmental Justice
Coordinator
Maryland Department of the Environment
2500 Broening Highway
Baltimore, MD 21224
Phone: (410)631 8054
Fax:(410)631 3936
E-mail: asawyers@mde.state.md.us
Dean B. Suagee *
Vermont Law School
First Nations Environmental Law Program
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Chelsea Street
South Royalton, VT 05068
Phone: (802) 763-8303 Ext. 2341
Fax: (802) 763-2940
E-mail: dsuagee@vermontlaw.edu
Consultant
Samara F. Swanston, ESQ.
205 W. 80th St., Apt. ID
New York, New York 10024
Office (718) 384-3339
Home (212)799-1068
Cell: (917) 324-0541
E-mail: fotlah@aol.com
Connie Tucker
Southern Organizing Committee for
Economic and Social Justice
P.O. Box 10518
Atlanta, GA 30301
Phone: (404)-755-2855
Fax: (404) 755-0575
E-mail: cttucker@mindsprLng.com
Joanna Underwood
President
INFORM, Inc.
120 Wall Street, 16th Floor
New York, NY 10005
Phone: (212)361-2400x222
fax: (212)361-2412
E-mail: underwood@informinc.org
Richard Wells
President
The Lexington Group
110 Hartwell Avenue
Lexington, MA 02421-3136
Phone: (781)674-7306
Fax: (781)674-2851
E-mail: richard.wells@lexgrp.com
Dianne Wilkins*
Oklahoma Dept. of Environmental Quality
Pollution Prevention Program
P.O.Box 1677
Oklahoma City, OK 73101 -1677
Phone: (405) 702-9128
Fax: (405) 702-9101
Fed Ex: 707 N. Robinson, 73102-6010
E-mail: Dianne. Wilkins@dea.state.ok.us
Donele Wilkins
Detroiter's Working for Environmental Justice
P.O. Box 14944
Detroit, MI 48214
Phone: (313) 821-1064
E-mail: dwdwej@msn.com
Advancing Environmental Justice through Pollution prevention
NEJAC Pollution Prevention Work Group Pre-Meeting Draft
Appendices
November, 2002
Please Do Not Cite or Quote
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EPA
Pollution Prevention
Updates
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U.S. EPA REGION 1
ENVIRONMENTAL JUSTICE PROGRAM
Pollution Prevention Policy Issues
NEJAC December 2002
Auto industry compliance assistance in Lawrence, Massachusetts.
An assistance outreach package was mailed out during August 2002 to more than 40 auto body
shops in Lawrence, Massachusetts, a working-class community with 59.7 percent of residents
identifying themselves as Hispanic or Latino. EPA officials recognized the community's need
for Spanish language auto industry compliance assistance materials between 2001 and 2002
while EPA New England's Urban Environmental Program worked with local officials and
community groups in Lawrence. EPA New England's Compliance Assistance Coordinator
created a package that included English and newly-created Spanish versions of the
Massachusetts Office of Technical Assistance (MA OTA) Crash Course for Compliance and
Pollution Prevention (Crash Course)-a tool to help shops achieve and go beyond
compliance-and a video created by EPA Region 9 entitled, "Profit Through Prevention: Best
Environmental Practices for Auto Repair." The Crash Course program is centered around a
comprehensive, plain-language guidebook produced by the MA OTA in 1998 in partnership with
the EPA New England, MA Department of Environmental Protection, the MA Auto Body
Association and a number of other agencies and organizations. The Crash Course is designed
to help members of the Massachusetts collision repair industry understand and comply with the
basic environmental, health and safety regulations that apply to them. The program promotes
the use of pollution prevention measures as a primary means for achieving compliance.
Besides the more than 40 auto body shops in Lawrence, the package was also sent to more
than 400 Massachusetts health agents and health officers so that they have tools and
resources at their disposal to assist them in conducting their code inspections and assistance
outreach in auto body shops throughout the state
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U.S. EPA REGION 2
ENVIRONMENTAL JUSTICE PROGRAM
Pollution Prevention Policy Issues
NEJAC December 2002
New York SEP Exchange
Supplemental Environmental Projects (SEP) are environmentally beneficial projects that a
respondent may agree to undertake as part of a settlement case. The cost of a SEP is
considered to offset some of the penalty amount, and the project must improve, protect or
reduce risk to public health and the environment, and go beyond any mandatory requirements,
and have a nexus to the noncompliance event for which the penalty was calculated.
Because some enforcement cases have low penalty amounts, the transaction costs of
developing a SEP often act as a disincentive to development and implementation of the SEP.
Respondents find it cost-effective to settle without developing and implementing a SEP. To
capitalize on low penalty cases for purposes of SEP development and implementation, Region
2 is considering establishing a "NY SEP Exchange" where respondents would purchase a
share(s) of a SEP. Currently respondents have singular ownership of projects and the NY SEP
Exchange would allow for multiple ownership. Each project would be used in furtherance of
pollution prevention, sustainability, and environmental justice.
Under the NY SEP Exchange, a list of previously approved SEPs applicable and appropriate for
the violation at hand would be given to respondents from which to choose where to purchase
their share(s). For their share contribution, Region 2 would reduce their penalty in accordance
with the SEP policy. For example, while a respondent in an enforcement case with a penalty
amount of 10K would not purchase a 100K bus using clean fuel as replacement for one burning
diesel fuel, it could purchase a share of 5K towards its purchase. The penalty amount would be
adjusted downward using the SEP policy.
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U.S. EPA REGION 3
ENVIRONMENTAL JUSTICE PROGRAM
Pollution Prevention Policy Issues
NEJAC December 2002
Auto Body Initiative:
OECEJ has partnered with Maryland and DC on an integrated strategy and outreach project.
The projects focus on auto body/repair shops in both cities in a given geographic area. MDE
has chosen to conduct the project in the Park Heights section of Baltimore and DC has chosen
Ward 5. The following is a brief outline of the steps involved in these projects: 1) identify the
universe of facilities in the geographic area; 2) conduct inspections at a statistically valid
number of randomly selected facilities to obtain a compliance rate for this sector in the
particular area; 3) provide compliance assistance and pollution prevention outreach to the entire
universe of auto body shops; 4) conduct a self certification program; and 5) measure the results
of the compliance assistance efforts. Both Maryland and DC have received grants from EPA
Headquarters to implement these integrated strategies. The states and the community groups
have identified the universe, and are developing the compliance assistance materials to be
distributed.
During FY02 Region Ill's OECEJ has assisted the states in identifying the auto body shops in
DC, and has conducted 46 inspections in DC and 30 in Maryland on behalf of the states to
determine the initial compliance rate of this sector in Park Heights and Ward 5. DC is already
experiencing an influx of calls from auto body shops for compliance assistance and citizen tips
reporting body shops out of compliance. OECEJ will also assist in coordinating the compliance
assistance efforts and will utilize expertise of the Region's Environmental Justice Coordinator in
working with the community groups.
Both DC and MD have completed, with OECEJ's assistance, the checklist for the inspections,
and written the Environmental Business Performance Indicators (EBPI). The EBPI will be used
in the measurement phase of the project. The results of these projects will be measured by
using the following measurement methods: determining the compliance rate at the beginning of
the project and again after the outreach has occurred, determining the number of participants
who self-certify, survey the auto body shops to determine any change in behavior with regards
to complying with environmental regulations, determine if complaints in the area have
decreased, and in addition, in Baltimore evaluate the POTW's DMRs to determine if there was
a decrease in oil and grease discharges.
These are just a few measures that have been in discussion. Region III is still working with
both DC and Maryland to finalize measures for these projects.
OECEJ will continue to assist the states in FY03 with follow-up inspections at 46 auto body
shops in DC and 30 auto body shops in MD.
Progress Report for EE-CARS Project, July, 2002
Project EE-CARS is an integrated strategy that partners the District of Columbia Department of
Health, Environmental Health Administration, the United States Environmental Protection
Agency, Region III, community residents and the automotive repair industry designed to
improve compliance with environmental laws and regulations by automotive repair
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establishments in a targeted ward of the city. Its ultimate goal is to help reduce air pollution and
pollution of the waters of the Anacostia River. The program is being conducted in a community,
DC's Ward 5, that faces a disproportionately high environmental burden such as low income
and minority communities. DC Department of Health has received a grant for $50,000 to
complete this project.
The program is being implemented in two phases. Phase I, which will correspond to year one
of the project, will involve the assessment and identification of automotive businesses in a
select ward, development of community partnerships and contacts, and the development and
compilation of relevant regulatory rules and guidance materials. It will also involve
determination of parameters necessary to form a baseline measurement of the pre-education
activity. Such measures may include a ranking system that scores the pre-education
compliance of the automotive repair businesses with applicable rules and regulations, an
assessment of industry knowledge of rules and regulations, and an assessment or survey of
community reactions, complaints, etc regarding the operation of the automotive repair
businesses in the community. Phase I will also involve the development self-certification
standards and the consequences for violations that are disclosed through self-audits and later
in the inspections stages of the project. These consequences, will in large part, be based on
small business policy and enforcement response policies approved for the District.
Phase II, which will correspond to year two of the project, will involve the outreach and
education component of the project. This outreach will be targeted to community members,
automotive businesses in the ward and trade and professional associations that are involved
with the automotive industry. Phase II will also include conducting compliance assistance
inspections to assess the extent of the compliance issues. After a period of voluntary
compliance and self-auditing, inspections will once again be conducted.
Knowledge of regulatory requirements, the extent of compliance with permitting and other
requirements, and community perceptions of business operations will again be measured. The
pre-education scores will be compared with the post-education scores to determine the impacts
of the programs. Where technology and resources permit, air quality monitoring devices and
water quality sampling devices may also be used to determine the results of this pollution
reduction initiative.
The following is an accounting of the progress of the EE-CARS project for which EPA has
provided grant funds. The following is a list of activities that has occurred to date:
• December, 2002 Identified all auto body shops in Ward 5 (146 auto body shops)
• May 10, 2002 Final Checklist for inspections
• May 13 to 16, 2002 46 inspections conducted
Planned Activities:
• Environmental Business Performance Indices (to be developed)
• Compliance Assistance - to be conducted between July and December 2002
• Self-Certification to be distributed after Compliance Assistance (January - March 2003)
with 3 months to respond
• Second round of inspections to be conducted (April - August, 2003).
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U.S. EPA REGION 4
ENVIRONMENTAL JUSTICE PROGRAM
Pollution Prevention Policy Issues
NEJAC December 2002
Demographics
Region 4, consists of eight southeastern states: (1) Alabama, (2) Florida, (3) Georgia,
(4) Kentucky, (5) Mississippi, (6) North Carolina, (7) South Carolina, and (8) Tennessee. The
eight states of Region 4 represent the largest and most diverse Region within the Agency.
Regional Pollution Prevention Strategy
Region 4's pollution prevention strategy brings all the programs together to address pollution
prevention in the eight southeastern states. The strategy directs the media divisions to make
reducing and eliminating pollution at the source their first consideration for all activities. The
strategy has established (a) a regional team that shares multimedia pollution prevention
information and (b) addresses pollution prevention initiatives that are multimedia in nature. The
strategic goal is addressed by each media division pollution prevention team. The teams have
developed plans to enhance pollution prevention on a yearly or two-year basis.
The following are activities that are occurring in Region 4 in collaborative with other
stakeholders that promote innovation in the field of pollution prevention, waste minimization,
and related areas to effectively ensure a clean, healthy, and sustainable environment for all
people, including low-income and minority communities.
Environmental Justice Through Pollution Prevention Grants
The EPA Pollution Prevention Grants have developed good models for innovative ways to get
clean environments through pollution prevention. Two very successful models were: (1) the
University of South Carolina located in the Charleston Community Based Environmental
Protection area. This project lead to major environmental improvements in minority businesses
through technical assistance rather than enforcement and (2) in West Louisville, Kentucky
which was instrumental in bringing pollution prevention into an area with heavy industrial
exposures.
Pollution Prevention Electronic Information
Region 4's pollution prevention program has placed a lot of effort in getting pollution prevention
information available electronically. Region 4's Waste Reduction Resource Center in Raleigh
North Carolina has developed a web site that has 20,000 documents available. This website
is believed to be the largest regional pollution prevention site available with more than 100,000
visits a quarter. The website is located at http://wrrc.p2pays.org.
Office of Solid Waste and Emergency Response Innovation Projects
EPA is partnering with states, academia, non-profits, tribes, local government, and industry to
test innovative ideas to make EPA's waste programs more efficient and effective. Two of twelve
national innovative projects were selected from Region 4. The first is: Testing the Viability of
Converting Wood Pallet Waste-to-Flooring. This pilot will test the feasibility of converting wood
pallets at the end of their useful life into value-added flooring products. Regional partners for
this project are: (a) North Carolina Division of Pollution Prevention, (b) North Carolina State
University, (c) U.S. Forest Service, and (d) Land-of-Sky Regional Council. The second is
Building Deconstruction and Reuse. This pilot will conduct an innovative research,
demonstration, and education project reconstructing a typical wood-framed house in
Gainesville, Florida, and design and reconstruct its constituent materials into new neighborhood
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building projects, Regional partners for this project are: (a) the University of Florida's Center for
Construction and Environment, (b) Gainesville, Florida's Regional Utilities, and (c) the City of
Gainesville, Florida.
Electronic Equipment Management
Region 4 submitted a project proposal and received funding to conduct three workshops on
electronic waste and one workshop on used electronics as part of an Office of Enforcement and
Compliance Assurance's (OECA) regional competition. The workshops are designed for
entities who may be unknowingly evading Resource Conservation and Recovery Act permits
and other hazardous waste management/transport requirements. An electronics collection
event was held to demonstrate how hazardous constituents in obsolete products (e.g.,VCRs,
DVDs, TVs, computer monitors) are posing environmental and disposal problems.
Two of the three workshops were held in FY 2002: (1) A national workshop in Denver,
Colorado, July 2002 and (2) a regional workshop in Atlanta, Georgia, September 2002. The
third workshop and the collection event was held in Mobile, Alabama in November 2002.
Tennessee Growth Readiness Program
EPA and the Tennessee Valley Authority are working collaboratively to gear the Tennessee
Growth Readiness Program towards community leaders, planners, developers, and local
stakeholders who play a role in land use decisions throughout the state. The Program's intent
is to (1) build upon the educational aspects of the Nonpoint Education for the Municipal Officials
Program, (2) work with local officials to remove zoning barriers, and (3) identify practical
effective best-management practices for implementation in the communities.
Charlotte Multimedia Initiative and Smart Growth Training
The Charlotte Multimedia Initiative and Smart Growth Training initiative is expanding the
Charlotte project to include Smart Growth elements to local planning and training for local
officials.
lnterstate-69 Road Corridor Alignment
EPA is working collaboratively with the Federal Highway Administration, other natural resource
agencies, and nonprofits to locate sensitive habitats and ecosystems early in the highway
alignment process. By identifying sensitive areas at the beginning of the process, future growth
can be steered into more favorable locations. The areas are being identified with the use of the
Southeastern Ecological Framework's Geographical Information System.
Neuhoff Redevelopment Project-tennessee
The Neuhoff Redevelopment Project is a collaborative effort to bring Smart Growth elements to
an in-fill redevelopment project (e.g. mixed-use, mixed income, green buildings, green roofs,
anti-gentrification, open space). This project, located at a potential Brownsfields site, has been
undertaken by a diverse steering committee (e.g., Region 4, Tennessee Valley Authority,
Cumberland River Compact). The site is located in a downtown low-income and minority area
in Nashville, Tennessee.
North Mississippi Initiative
EPA is partnering with Federal and State natural resource agencies and local economic
developers to target the northeastern 28 counties in Mississippi to look at ways to mix growth
and development with the existing natural resources in the area. The goal is to successfully
market the area as a wilderness tourist destination without becoming overwhelmed by urban
sprawl growth in several local communities.
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U.S. EPA REGION 7
ENVIRONMENTAL JUSTICE PROGRAM
Pollution Prevention Policy Issues
NEJAC December 2002
EPA Region 7 responds through a series of activities the Region has been engaged in and
plans to take on relating to the NEJAC policy issue.
Internal Program Coordination: One of the keys to promoting innovations in the area of
pollution prevention and waste minimization is coordination between staff who serve as points
of contact on the subjects of environmental justice, pollution prevention, sustainable
development, brownfields and community based environmental protection. Region 7 maintains
this coordination through two teams; an environmental justice implementation team which is
comprised of representatives of each regulatory program area and contacts for all cross media
initiatives and ac cross media team responsible for cross media coordination and
recommending funding decisions for regional discretionary funding. Coordination through these
two teams provide the ability for more proactive planning, focus in actions, and targeting which
enable the region to make a greater gains in environmental and health protection in areas
which have the greatest need.
Enforcement Targeting: Region 7 Enforcement Programs have committed to incorporating
environmental justice and pollution prevention as two of several targeting criteria which will be
used in targeting in FY 2003-2004. A regional targeting team which includes RCRA, CAA, C.A.,
EPCRA, and CERCLA staff representative will use a combination of defined geographic
information to identify communities and ecosystems that have releases, areas with high asthma
incidents, et. The areas with the highest correlations of certain key parameters bo be defined in
the strategy will be identified as "Areas of Concern" and will receive priority attention. This
approach is intended to produce the following results in the Areas of Concern:
Assure compliance with the regulations under multiple media for the facilities inspected or
investigated within a given geographic area
Assure prompt action to return violators to compliance
Assure prompt mitigation for environmental releases or environmental or human health impacts.
Community Outreach and Education: EPA Region 7 has addressed pollution prevention and
environmental justice through outreach and education activities initiated by staff as well as
undertaken through the Environmental Justice Small Grants Program. Region 7 has funded
numerous projects which introduce pollution prevention practices which may be applied on the
household level which empowers individuals to take precautionary measures which result in a
reduction in pollution. Environmental Justice Small Grant projects which address Pollution
Prevention concerns include projects which focus on:
• Household hazardous waste; purchasing safer alternatives and safer disposal of those
hazardous products used in the home.
• Energy conservation and home weatherization project which serve to reduce energy
consumption as well as lower heating and cooling costs.
• Neighborhood clean-up projects and recycling projects.
Region 7 Environmental Justice program staff and Pollution Prevention staff plan an outreach
and education campaign for the winter of 2002-2003 focusing on home weatherization and
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energy conservation in disadvantaged communities.
Westside Sustainable Community Development Project: Region 7 Environmental Justice
Program through an EJP2 grant supported an urban design and community development
project with the Metropolitan Energy Center in Kansas City, Missouri. The purpose of the
project was to work with community representatives to document a community vision and
develop a plan to bring the vision to fruition. The result of this project was a model for
community visioning and sustainable development which may be available to other communities
[available on CD ROM. with accompanying video tape], a plan for the Westside neighborhood,
and community lead projects. Environmental results included increased recycling through a
barrel project, increased use of made from recycled products and recyclable products in
construction through a commitment by the Westside Housing Association, and increased use of
alternative transportation through the development of a more useful routing system. This
project and the visioning process used within it has become a model used in several other
communities within the region due to them witnessing the success in the Westside. The
success of the project also served as a spring-board for several other positive action in
Westside neighborhood.
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U.S. EPA REGION 8
ENVIRONMENTAL JUSTICE PROGRAM
Pollution Prevention Policy Issues
NEJAC December 2002
GRANTS
Northeast Metro Pollution Prevention Alliance EJ / P2 Grant
The residents of northeast Denver are subjected to high levels of diesel emissions due to their
proximity to three interstate highways, large diesel vehicle fleets housed in their neighborhoods,
and proximity to an industrial area where greater numbers of heavy duty vehicles travel.
According to the 2000 census, this area is comprised of xx% minority population, primarily
Hispanic, and xx% of households living in poverty.
This $75,000 Pollution Prevention grant to the Northeast Metro Pollution Prevention Alliance will
help small businesses in northeast Denver, Colorado, prevent pollution, and
assist in fostering partnerships between industry and communities. The purpose of this grant is
to reduce diesel emissions and develop an organization that will result in an enduring effort to
reduce emission from heavy duty diesel trucks and subsequently reduce the exposure of those
emissions to local residents. The grant will allow the development of a "Best Diesel Practices
Program" which will educate Diesel fleet operators about ways to save money and at the same
time reduce emissions. The grant supports testing of exhaust opacity of participating fleets
and will then subsidize repair of the higher opacity, up to a maximum dollar amount of $1500.
After repair, opacity will once again be checked to determine the degree of emission reduction.
The desired outcome of this project is lowered emissions from heavy-duty diesel vehicles
traveling in the northeast Denver neighborhoods of Elyria-Swansea and Globeville.
The organizations forming this partnership recognizes the desirability to reduce emissions from
badly maintained heavy duty diesel engines. Members of this partnership are the Northeast
Metro Pollution Prevention Alliance, Colorado School of Mines, Conoco, Inc., the Colorado
Department of Public Health and Environment, Tri-County Health Department and Cross
Community Coalition (a neighborhood association in Elyria-Swansea.)
SUPPLEMENTAL ENVIRONMENTAL PROJECTS (SEPs)
Conoco Refinery, Denver, CO
Five of the Conoco SEPs include pollution prevention projects of varying degrees. The most
promising of the P2 projects is the Diesel Outreach and Awareness project submitted by the
Regional Air Quality Council/Denver Metro. They have been awarded $50,000 with which to
conduct a diesel fleet outreach and awareness campaign. They will conduct two workshops for
diesel fleet owners, including school bus fleets. They will meet one-on-one with fleet owners to
assist them in reducing diesel emissions through cost effective maintenance programs, retro-
fitting engines, and supporting the use of low sulfur fuels. They expect to fund the retro-fit of
30-40 diesels resulting in a 30-50% reduction of emissions from those trucks.
Another project with a strong pollution prevention approach comes from Colorado Energy
Science Center (CESC). The Center proposes to work with several schools in northeast
Denver to educate students and teachers about how to reduce home energy use through
increased efficiencies. In addition, it will support home energy audits and consultations with the
parents and teachers of these students. CESC will receive $30,000 with which to support this
work.
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Several other projects have a more limited P2 impact in that they include recycling projects.
Commerce City Community Enterprise will receive $25,926 to conduct environmental education
and outreach with youth in the Holly Park Youth Council. The Council will work with the
residents in the 165 unit Holly Park, low-income housing complex. In addition to developing a
recyling center in the complex, they will assist residents' recyling efforts by collecting material
door-to door, planting trees on the property, cleaning hallways and other parts of the property
and developing a community garden with composting. Youth Biz will receive $41,600 to work
on alley cleanups and recycling in the Cole neighborhood. They will work with 77 alleys, 1500
homes and 4800 people to cleanup and monitor the alleys and to assist residents with
recycling. Lastly, the Adams City High School Environmental Club will receive $1,000 with
which to implement a recyling and education program at the school.
Rocky Mountain Steel Mill (RMSM)
These projects are proposed under a settlement with EPA of a CAA case. The RMSM projects
listed have been proposed to and accepted by the company. However, the Consent Decree,
under which these community-based SEPs are proposed, is not yet signed, but should be
signed within a month.
City and County of Pueblo Health Department - Environmental Health Division
Project cost: $157,691
The Department proposes to address potential lead paint hazards in homes in neighborhoods
adjacent to the RMSM site. The focus will to be to protect neighborhood children from
exposure to lead from paint by testing soils and indoor dust for lead. Where lead is detected it
will be removed.
Bessemer Neighborhood Partnership
Project cost: $50,000
On-site assessment of opportunities for neighborhood physical improvements. Printing and
distributing educational materials. Program assistance for specific exterior improvements to
structures and landscaping of properties identified from the on-site assessment. The
landscaping will remove potentially hazardous materials and provide appropriate land cover.
Note:
Additionally, The State of Colorado, under a separate CAA action and settlement with RMSM,
has set aside $500,000 for community-based SEPs. Some of these projects are P2. EPA is
coordinating closely with the state in this process.
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U.S. EPA REGION 10
ENVIRONMENTAL JUSTICE PROGRAM
Pollution Prevention Policy Issues
NEJAC December 2002
Some valuable work being initiated in collaboration with EPA's funding and initiated by local
environmental justice organizations to address the topic of the pollution prevention policy issue
include an EPA grants program titled "Environmental Justice through Pollution Prevention"
(EJP). These grants are helping communities address the issues of pollution prevention and
are a method of EPA Region 10 helping communities to address issues they have identified as
important and critical pollution concerns.
The grants awarded included the Athabascan Tribal Government's proposal to address Waste
Reduction and to develop and implement a regional and village based waste reduction program
in the Yukon Flats. The project addresses transportation problems, village waste affecting
streams and increasing the traditional knowledge of the tribes in better waste management
techniques.
Another grant was awarded to the Environmental Coalition of South Park and Georgetown
areas of Seattle, Washington. The project focuses on the Duwamish Corridor in Seattle. This
project will provide pollution prevention assistance to businesses located in the environmental
justice communities of South Park and Georgetown areas of Seattle. The project finances a
new small business technical assistance program and assists business in decreasing the
amount of pollution and hazardous waste generated.
The third award funded the Earth Energy Systems, Ltd. They are working on a Wind
Monitoring program in two remote villages in Alaska; Egegik Village and Port Heiden. The goal
is to reduce the amount of diesel fuel coming into the villages via shipping, spillage, and
consumed electricity production. This project establishes a framework for Egegik and Port
Heiden to identify the development potential of wind energy in their communities. It also
determines the cost of wind power production and the amount of diesel fuel that can be
replaced with a detailed wind-monitoring program.
The above projects funded will be highlighted in a regional presentation to all EPA employees.
The programs will be discussed and members of the programs will give a presentation and
explain the program, the goals, and the expected outcomes. This will educate other EPA
employees about the issues affecting low-income, minority and tribal communities. This will
enhance knowledge and understanding of other EPA employees who do not specifically work
on pollution issues learn more about this topic. They will be better informed when reading
Environmental Impact Statements, when conducting inspections, etc. related to EJ communities
and the pollution issues impacting these communities.
Future plans include in March of 2003 inviting the former Director of the State of Oregon
Department of Ecology and the Community Coalition for Environmental Justice's Director to
give a presentation to EPA employees about the results of a University of Washington study
which focused on the issue of pollution and air sampling along the I-5 corridor in Seattle,
Washington. This will increase EPA employees knowledge about other studies and
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environmental work being conducted by external environmental justice stakeholders in Region
10. The results of this report may pose multiple potential pollution questions.
Additional future plans in the area of pollution prevention include surveying the Region 10
Environmental Justice Core Group (EPA Office EJ Coordinators) to determine if they have
ideas and if they know of pollution prevention, waste minimization and related areas to more
effectively ensure a clean, healthy, and sustainable environment for all people, including low-
income, minority and tribal communities projects that should or could be worked on in
collaboration with other EJ stakeholders and EPA.
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OFFICE OF WETLANDS, OCEANS AND WATERSHEDS
ENVIRONMENTAL JUSTICE PROGRAM
Pollution Prevention Policy Issues
NEJAC December 2002
The Office of Wetlands, Oceans, and Watersheds (OWOW)
has undertaken a number of initiatives in cooperation with other
organizations concerned about issues of environmental justice
and pollution prevention. Many of these initiatives have
provided training and outreach for tribes, or for minority or
lower-income localities. Other initiatives involve working with
such communities to help ensure opportunities to prevent
pollution are considered, and their needs are taken into
account in environmental regulatory decisionmaking. Below
are a couple of examples.
Tribal Training for Control of Nonpoint Source Water Pollution-
OWOW has developed Tribal Workshops to assist tribes in preparing Nonpoint Source
Pollution Control Management Programs under Clean Water Act Section 319, and to become
eligible for obtaining program grants are available to all federally recognized Indian tribes.
Workshops cover requirements for tribes in developing assessments of nonpoint source
pollution impacting reservation waters, preparations of the Tribal Nonpoint Source Management
Program that defines priority projects and best management practices needed to prevent and
mitigate nonpoint pollution problems, and the details needed to apply for treatment in a similar
manner as a state (TAS). These requirements are necessary for tribes to become eligible for
project grants authorized by sections 319(h) and 518. Since 1998, 15 Tribal Workshops have
been held throughout Indian Country having reached most every tribe in the western and
eastern states.
Improving OWOW's Spanish-language website
OWOW's Wetlands Division has placed particular importance on reaching a wide spectrum of
the public to inform them of wetland ecology, functions and values of wetlands, and describe
Federal regulatory and non-regulatory efforts to protect wetlands. To further this goal, OWOW
has developed a web site with extensive information. To address the needs of the Spanish
speaking community, during this past summer, the Wetlands Division employed a Hispanic
American College and University (HACU) intern to translate information from the EPA Wetlands
page into Spanish. The Spanish-language website has been frequently visited for information
on how to best prevent wetlands from becoming polluted or otherwise degraded.
American Wetland Month: Outreach and Education Activities directed towards Urban
Youth
Every May is American Wetlands Month. As part of OWOW's annual celebration and efforts to
encourage communities to focus on wetlands education and restoration, OWOW's Wetlands
Division and EPA Regional Offices work with various urban youth organizations. EPA's goals
for these activities are to raise awareness of the importance of wetlands in urban watersheds,
educate urban youth on activities they can engage in to protect and restore wetlands, and to
Governor's Presentation
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improve urban watershed health through wetland restoration activities. Activities resulted in
over 500 children in the DC metropolitan area being educated about urban wetlands and the
importance of wetlands in the Chesapeake Bay Watershed. Numerous partners participated in
these events with EPA, including the DC Department of Health, the Anacostia Watershed
Society, and the premier vocational program for troubled youth in Alexandria: The Alexandria
Seaport Foundation.
Five Star Program: Partnering to Protect Wetlands:
The Five Star Restoration Program was established so EPA can work with its partners for
community-based wetlands protection and restoration projects in watersheds
across the U.S. The National Association of Counties, the National Fish and
Wildlife Foundation, and the Wildlife Habitat Council have joined together
with EPA for this effort. Funding for the program is provided by EPA's Office
of Wetlands, Oceans and Watersheds, and by the National Marine Fisheries
Service's Community-based Restoration Program for selected projects in
coastal areas.
The Five Star Challenge Grants Program develops knowledge and skills in
young people through protection and restoration projects that involve
multiple and diverse partners, including local government agencies, elected
officials, community groups, businesses, schools, youth organizations, and
environmental organizations. Its objective is to engage five or more partners
in each project to contribute funding, land, technical assistance, workforce support or other
in-kind services that match the program's funding assistance. Consideration for funding is
based upon the project's educational and training opportunities for students and at-risk youth,
the ecological benefits to be derived, and the project's social and economic benefits to the
community. Because of this consideration, the Five Star program supports the EJ causes.
EPA's funding levels are modest, averaging about $10,000 per project. However, when
combined with the contributions of partners, projects that make a meaningful contribution to
communities become possible. At the completion of Five Star projects, each partnership will
have experience and confidence with a demonstrated record of accomplishment, and will be
well-positioned to take on similar projects in the future. Thus far, the total number of projects
funded FY 99-02 is 250 projects, with project funding levels ranging from $5,000 to $20,000.
For more information, see: http://nfwf.org/proarams/5star-rfp.htm )
An example of a successful Five Star initiative is the recent project involving Washington DC
Schools in the Anacostia and Potomac Rivers on Submerged Aquatic Vegetation Restoration.
Restoration of submerged aquatic vegetation (SAVs), which serve as critical feeding, nursery,
and refuge habitats for a number of ecologically and economically valuable species, is a priority
in the Chesapeake Bay Watershed. The Alliance for the Chesapeake Bay was initially
awarded a $10,000 Five Star Project grant in FY00 in partnership with the District of Columbia,
DC Harbor Patrol, DC Police, the Living Classrooms Foundation, the Earth Conservation Corps,
and the Underwater Adventure Seekers Dive Club, has been working to restore SAVs in the
lower Anacostia River and in the Potomac River. The project involved training teachers and
students from Theodore Roosevelt and H.D. Woodson High Schools in the District of Columbia
to grow approximately 1,500 aquatic plant seedlings. Students received classroom education on
SAV restoration as well as participate in transplanting the seedlings they raised in the
classroom. For the Theodore Roosevelt HS, the students participate as part of their earth
science curricula, and for H.D. Woodson HS, this is part of its students community service
education through
Wetland
Restoration Site
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program. All in all, 35 students enrolled in the project. This project was completed in a field
day in May 2001 when the seedlings were transported by the students and teachers from the
school laboratories and planted by the divers teamed with the Harbor Patrol, DC Police, and the
National Park Service. The project has heightened the community's awareness of the history,
the values and functions of our river through direct involvement in restoration activities. It has
also helped to develop an informed citizenry to meet the environmental challenges of tomorrow.
Highlighting Tribal Wetland Protection Efforts
|;; """ OWOW's Wetlands Division worked with eleven tribes to develop case
studies highlighting tribal experiences in protecting water resources.
The result, "Tribal Wetland Program Highlights" (EPA 843-R-99-002) is
a milestone publication in the Office of Water's ongoing effort to support
the development of comprehensive tribal wetland programs. The
report's eleven case studies focus on experiences of tribal organizations,
Whitman with Washoe featurin9 Program components, tools, and strategies currently employed
and Paiute Chairmen to protect and restore wetlands and watersheds.
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CO
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o
3
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CD
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Air and Water
Subcommittee
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AGENDA
NEJAC Air and Water Subcommittee
Baltimore, Maryland
December 11,2002
Overall Meeting Goals:
Provide Working Session for Completing Recommended Practices Guide on Permitting
Enable discussion on recent permitting and Pollution Prevention Issues
8:30 a.m. Introduction of Subcommittee members and EPA officials
- Eileen Gauna
9:00 a.m. Briefing on Evaluation for Pollution Prevention in Permitting Program (P-4)
Projects
- Bob Kellam
9:30 a.m. Working Session for Permitting Workgroup
Recommended Practices
Noon LUNCH
1:00 p.m. Report on EPA Region 6 Environmental Justice Listening Session
1:30 p.m. Briefing on NSR/Baton Rouge Banking Rule
- Michael Boydston, Region 6
2:00 p.m. Subcommittee Adjourns
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NEJAC AIR AND WATER SUBCOMMITTEE
List of Members
2002
DESIGNATED FEDERAL OFFICIALS
Alice Walker (co-DFO)
Office of Water
U.S. Environmental Protection Agency
401 M Street, SW (MC 4102)
Washington, DC 20460
Phone: (202) 529-7534
Fax:
E-mail: walker.alice.@epa.gov
Wil Wilson (co-DFO)
Office of Air and Radiation
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, NW
Washington DC 20460
Phone: (202)564-1954
Fax: (202)564-1557
E-mail: wilson.wil@epa.gov
CHAIR
Eileen Gauna -1 year (AC) *
Southwestern University Law School
675 Westmoreland Avenue
Los Angeles, CA 90005
Phone: (949) 361-2992 (H)
Fax: (213)383-1688
E-mail: eqauna@swlaw.edu
VICE CHAIR
Kenneth Manaster - 2 years (AC)
Santa Clara University School of Law
500 Del Camino Real
Santa Clara, CA 95053
Phone: (408)554-4140
Fax: (408) 554-4426
E-mail: Kmanaster@scu.edu
Other Members
Non-Government/Environmental Group
Daniel S. Greenbaum -1 year (NG)
Health Effects Institute
955 Massachusetts Avenue
Cambridge MA 02139
Phone: (617) 886-9330, ext.331
Fax: (617)886-6709
E-mail: dgreenbaum@healtheffects.org
Jason Grumet - 3 years (NG)
Executive Director
National Commission on Energy Policy
1616 H Street, NW 6th Floor
Washington, DC 20006
Phone: (202) 637-0400, ext 12
Fax: (202) 637-9220
E-mail: igrumet@energycommission.org
Wilma Subra - 2 years (NG) *
Louisiana Environmental Action Network
Subra Company, Inc.
P.O. Box 9813
3814 Old Jeanerette Road
New Iberia, LA 70562
Phone: (337)367-2216
Fax: (337)367-2217
E-mail: subracom@aol.com
State/Local Government
Robert Sharpe - 3 years (SL)
Illinois Environmental Protection Agency
1021 North Grande Avenue, East
Springfield, IL
Phone: (217)524-3331
Fax: (217)782-9807
E-mail: robert.sharpe@epa.state.il.us
* = NEJAC Executive Council member
AC = Academia EV = Environmental Group CG = Community Group IN = Industry/Business
NG = Non-governmental Organization SL = State/Local Government T/l = Tribal/Indigenous
Terms of Expiration
(1 ) = 12/31 /20Q2 (2) = 12/31 /2003 (3) = 12/31 /2004
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National Environmental Justice Advisory Council
air and water subcommittee
DRAFT STRATEGIC PLAN (SEPTEMBER 2002-2004)
September 30, 2002
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COMPOSITION OF THE SUBCOMMITTEE
Members of the Subcommittee are selected from the following groups: persons who work
with environmental justice communities; persons who work for non governmental environmental
organization, academics, and state officials. The Subcommittee also will work closely with the
Designated Federal Officials in the Office of Air and Radiation, and the Office of Water Quality.
The following is the current Air and Water Subcommittee membership:
Designated Federal Officials:
Alice Walker, Office of Water
Wil Wilson, Office of Air & Radiation
Chair: Eileen Gauna, Southwestern University Law School
Vice Chair: Ken Manaster, Santa Clara University School of Law
Members: Wilma Subra, Louisiana Environmental Action Network
Dan Greenbaum, Health Effects Institute
Jason Grumet, National Commission on Energy Policy
Damon P. Whitehead, Anacostia Riverkeeper
Robert Sharpe, Illinois Environmental Protection Agency
Disclaimer
This document has been reviewed and accepted by EPA as a part of the activities of the National
Environmental Justice Advisory Council, a public advisory committee providing external policy
information and advice to the Administrator and other officials of the United States Environmental
Protection Agency (EPA). The Council is structured to provide balanced, expert assessment of issues
related to environmental justice.
Inside Front Cover
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Letter from Sponsoring Program Office
Management Approving the Strategic plan
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National Environmental Justice advisory Council
AIR AND WATER SUBCOMMITTEE
STRATEGIC PLAN (SEPTEMBER 2002-2004)
TABLE OF CONTENTS
EPA APPROVAL LETTER(S)
INTRODUCTION 1
Mission
Goals
SUBCOMMITTEE OBJECTIVES 3
Objective 1 3
Objective 2 4
NEJAC MISSION STATEMENT 6
HISTORICAL PERSPECTIVE AND ACCOMPLISHMENTS OF SUBCOMMITTEE 8
Historical Perspective
Accomplishments
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National Environmental Justice advisory Council
AIR AND WATER SUBCOMMITTEE
STRATEGIC PLAN (SEPTEMBER 2002-2004)
INTRODUCTION
The National Environmental Justice Advisory Council's (NEJAC) mission is to provide
independent advice and recommendations to Environmental Protection Agency (EPA) that will
help to improve the direction and implementation of environmental justice programs and
initiatives. As one of six subcommittees to the NEJAC, the Air and Water Subcommittee (A&W)
has created a two year strategic plan to guide its work in 2002-2004 in providing advice on how
to most effectively address environmental justice issues caused by air and water pollution and
degradation of the air resources and water bodies. The Subcommittee's ability to provide such
advice, and to achieve goals and objectives such as those set forth in this plan, is hampered when
the Subcommittee is lacking a full complement of members, as has been the case in 2001-2002
DUE TO THE ABSENCE OF MEMBERS APPOINTED BY OFFICE OF WATER. If the
EPA, and more particularly the Office of Water, does not promptly restore more complete
membership to the Subcommittee, it is not realistic to expect full and successful implementation of
this plan.
SUBCOMMITTEE MISSION
The mission of the Air and Water Subcommittee is to identify, review and recommend
creative, sustainable and environmentally just solutions so that informed policy decisions can be
made. In all of its efforts, the Air and Water Subcommittee will encourage active stakeholder
input. The members of the Air and Water Subcommittee will draw upon their collective
experiences, knowledge, and expertise to facilitate the NEJAC's formulation of recommendations
and advice provided to EPA on environmental justice policy and direction as it affects
Environmental Justice Communities. To achieve its mission, the Air and Water Subcommittee
has developed four goals and a set of corresponding objectives.
SUBCOMMITTEE GOALS AND OBJECTIVES
The Air and Water subcommittee has identified the following four goals and specific
objectives to be pursued over the next two years:
1. Provide recommendations and advice to the NEJAC on the development of EPA-
backed legislation, as well as Agency policy, guidance, and protocols, to help
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promote environmental justice initiatives within the Office of Air and the Office of
Water.
1.1 Identify ways pollution prevention can effectively be used to address issues
of environmental justice.
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1.2 Comment upon EPA-developed regulations and guidance documents
pertaining to air and water regulation.
1.3 Assist the Offices of Air and Water in identifying environmental justice
issues pertaining to air and water pollution and resource degradation
2. Convene a Permitting Workgroup to develop a recommended practices guide for
air permitting officials.
3. Convene an Air Toxics Workgroup to respond to and give advice concerning the
EPA's Urban Air Toxics Strategy.
4. Convene a Water Workgroup to give advice and recommendations concerning
water regulatory issues, such as issues concerning fish consumption, concentrated
feeding animal operations, and TMDL planning.
These objectives are further defined below and include key activities and time frames concerning
how they will be accomplished.
GOAL 1: Provide recommendations and advice to the NEJAC on the
development of EPA-backed legislation, as well as Agency policy,
guidance, and protocol, to help achieve environmental justice.
OBJECTIVE 1.1 Identify ways pollution prevention can effectively be used to
address issues of environmental justice for Indigenous peoples.
Product/Activity: Assist the Pollution Prevention Workgroup in planning the
December 2002, meeting of the NEJAC
Desired Outcome: An effective meeting and a cogent set of recommendations.
Subcommittee Leads: Wilma Subra
OBJECTIVE 1.2: Comment upon EPA-developed regulations and guidance
documents pertaining to air and water regulation.
Product/Activity: This objective will be determined in detail as the EPA seeks specific
advice and recommendations from the Air and Water
Subcommittee.
Subcommittee Leads: To be assigned
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OBJECTIVE 1.3 Assist the Offices of Air and Water to identify environmental
justice issues which pertain to air and water pollution and resource
degradation.
Product/Activity: Comment letters on Agency proposed regulations and guidance
documents.
Subcommittee Leads: To be assigned
GOAL 2: Convene a Permitting Workgroup to develop a Recommended practices
guide for air and water permitting officials.
Product Activity. Recommended Practices Guide
Subcommittee Leads: Dan Greenbaum and Kenneth Manaster
Key Activities and Target Dates:
1. Develop Introduction; Flashpoints list and Outline for Guide-Summer-Fall-2002
2. Develop Text for Flashpoints and Recommended Practices-Winter 2002-2003
3. Develop first draft of Guide for Distribution to Subcommittee Members for
Input/Comments- May 2003
4. Review Comments and Redraft Guide-July 2003
5. Complete Interim-Final Draft and Submit to NEJAC Executive Council for Review
and Approval-September 2003
6. NEJAC Reviews/Final Draft and Submit to Agency
GOAL 3: Convene an Air Toxics Workgroup to respond to and give advice concerning
the EPA's Urban Air Toxics Strategy.
Product/Activity: Comment letters on Agency proposed regulations and guidance
documents.
Subcommittee Leads: To be assigned
GOAL 4: Convene a Water Workgroup to respond to and give advice and
recommendations concerning water regulatory issues, such as issues
concerning risk communications for at risk populations, fish consumption,
concentrated feeding animal operations, TMDL planning
OBJECTIVE 4.1 Provide a critical review and comments on Volume 4: Risk
Communication of the Agency's Guidance for Assessing Chemical
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Contaminant Data for Use in Fish Advisories and related outreach
documents.
Product/Activity: Comment letters on Agency proposed regulations and guidance
documents.
Subcommittee Leads: To be assigned
OBJECTIVE 4.2 Assist the Office of Water with improving communications with
potentially at risk populations during the public participation
process that underlay the clean water and drinking water programs.
Product/Activity: Comment letters on Agency proposed regulations and guidance
documents.
Subcommittee Leads: To be assigned.
NEJAC MISSION STATEMENTS
The NEJAC was established September 30, 1993. The Council is chartered in two year
increments. The NEJAC's mission is to provide independent advice and recommendations to
EPA that will help to improve direction and implementation of environmental justice programs
and initiatives as defined in its charter. NEJAC's advice and recommendation shall be directed
toward:
Advice on EPA's framework
development for integrating
socioeconomic programs into
strategic planning, annual planning
and management accountability
for achieving environmental justice
results agency-wide.
Advice on measuring and
evaluating EPA's progress,
quality, and adequacy in planning,
developing, and implementing
environmental justice strategies,
projects, and programs.
Advice on EPA's existing and
future information management
systems, technologies, and data
collection, and to conduct
analyses that support and
strengthen environmental justice
programs in administrative and
scientific areas.
Advice to help develop, facilitate,
and conduct reviews of the
direction, criteria, scope, and
adequacy of the EPA's scientific
research and demonstration
projects relating to environmental
justice.
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Provide advice for improving how
the EPA and others participate,
cooperate, and communicate
within the Agency and between
other Federal agencies, State, or
local governments, Federally
recognized Tribes, environmental
justice leaders, interest groups,
and the public.
Advice regarding EPA's
administration of grant programs
relating to environmental justice
assistance (not to include the
review or recommendations of
individual grant proposals or
awards.
Advice regarding EPA's
awareness, education, training,
and other outreach activities
involving environmental justice.
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HISTORICAL PERSPECTIVE AND ACCOMPLISHMENTS
The National Environmental Justice Advisory Council's (NEJAC) Air and Water
Subcommittee held its first meeting on December 9, 1998 in Baton Rouge, Louisiana. The charge
of that meeting, which charted the Subcommittee's current course was to provide advice through
the NEJAC to the Office of Air and Radiation and the Office of Water. Categorically, the
Subcommittee's advice to both offices has been four-fold: 1) Assess the disproportionate
environmental effects on communities; 2) Define issues related to air and water quality that are
often associated with environmental justice; 3) Develop tools and solutions for addressing such
issues and 4) Examine existing and current guidelines to incorporate considerations of
environmental j ustice.
ACCOMPLISHMENTS
Since its inception, the Air and Water Subcommittee has requested and received subject
matter briefings from managers within each of its sponsoring offices. The Subcommittee has
provided advice and recommendations on a number of program areas. This advice has been
instrumental in helping to integrate environmental justice into the activities and decision-making
processes of the Office of Air and Radiation and the Office of Water. Two of the Subcommittee's
early accomplishments include:
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1) Participation by the Subcommittee's Urban Air Toxics Workgroup in the development
of the National Air Toxics Program: Integrated Urban Strategy. In its "Urban Air Toxics"
report, the Workgroup provided comments in two key areas on a draft listing of urban air toxics :
(a) persistent biocumulative toxics (PBTs) and (b) diesel emissions. As a result of the
Workgroup's recommendations, changes were made to the ranking methodology for listing urban
air toxics. These recommendations suggested that greater emphasis be placed on PBTs. In
addition, the Workgroup's recommended that polychlorinated biphenyls (PCBs),
hexachlorobenzene (HCB) and diesel with its constituents be included on the list.
2) Participation by the Subcommittee in an Office of Air and Radiation day long focus
meeting with members of the Enforcement Subcommittee and the Clean Air Act Advisory
Committee on the draftE conomic Incentive Program (EIP). The purpose of the meeting was to
address the Economic Incentive Program within the context of environmental justice
considerations. The agenda for the meeting focused on whether the EEP contained the
appropriate safeguards to protect communities against disproportionate pollutant accumulation.
As a result of this focus session and subsequent follow- up meetings and conversations, numerous
changes were made to the EEP which mirrored the consensus recommendations of the groupOne
of the Subcommittee's most notable accomplishments, was the role it played in a focus meeting
a
which was sponsored by the Office of Air and Radiation in collaboration with senior managers
from EPA's Region II. This one day meeting involved intensive discussions on air quality and
related issues in Puerto Rico. The meeting was planned in response to a resolution adopted
8
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during the December 1999 NEJAC meeting concerning power plant emissions in Puerto Rico and
their history of non-compliance with air quality standards, including limitations on S02 emissions
and fuel quality. Prior to the conclusion of the meeting in Region II, and as a critical next step,
the Subcommittee developed and prioritized a list of action items. This list played an important
role in the Region's decision requesting the Government of Puerto Rico to revise its State
Implementation Plan and consider several of the long range action items which had been identified
by Subcommittee members.
Fish Consumption Workgroup
A major accomplishment of the Subcommittee's Fish Consumption Workgroup was the work
collaboration with members of the Indigenous Peoples Subcommittee, a diverse group of
stakeholders, technical experts from the EPA Office of Water, Office of Air and Radiation and the
Office of Research and Development to form the NEJAC Fish Consumption Workgroup. The
NEJAC tasked the group to form the NEJAC Fish Consumption Workgroup which developed an
issue paper addressing an overarching policy question, and set of recommendations around the
relationship between water quality, fish consumption and environmental justice. The issue paper
was developed to serve as a vehicle to engage the NEJAC in a deliberative dialogue. Members of
the NEJAC Fish Consumption Workgroup presented the draft report to the NEJAC during the
December 2001 meeting in Seattle, WA. After the NEJAC meeting an Ad Hoc Deliberation
Workgroup was formed consisting of several members from the NEJAC Fish Consumption
Workgroup and the NEJAC Executive Council to address significant differences in opinions with
respect to many issues addressed by the draft report. A final report and recommendations will be
forwarded to the EPA Administrator for review and consideration.
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NATIONAL RISK COMMUNICATION CONFERENCE
Members of the Subcommittee's Fish Consumption Workgroup (FCW) served on the National
Risk Communications Steering Committee with the Minnesota Department of Health and the
Environmental Protection Agency (EPA) to assist with the planning and development of the
National Risk Communications Conference and Workshops held in Chicago, Illinois, May 200L
Several FCW members were invited as guest speakers and participants at the conference. The
conference provided a means for the EPA to obtain information on risk communications methods
that are effective for populations exposed to and susceptible to chemical contaminants in fish,
especially those who may have difficulty receiving, understanding or accepting risk information.
To ensure a diverse audience, the FCW provided the conference planners with data and mailing
addresses for several hundred at-risk EJ stakeholders.
RESOLUTIONS
- Developed (collaboratively with the Enforcement Subcommittee) the Confined Animal
Feeding Operations (CAFOs) Resolution, Hogs, Health and Honesty: The Case for EPA's
Intervention in the Swine Industry.
- Developed a resolution requesting that EPA examine the regulation of Power Plants
in Puerto Rico and their history of non-compliance with air quality standards, including
limitations on S02 emissions and the quality of fuel consumed.
- Developed the resolution requesting EPA to regulate mercury emissions from coal-
fired power plants.
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Enforcement
Subcommittee
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AGENDA
NEJAC Enforcement Subcommittee
Baltimore, Maryland
December 11, 2002
9:00 a.m. Opening Remarks
- Phyllis Harris, Principal Deputy Assistant Administrator for Enforcement and
Compliance Assurance, EPA
9:30 a.m. Regional Enforcement Issues:
- Carol Rushin, EPA Region 8
Northeast Denver Environmental Initiative
Enforcement of Worker Protection Standard
Drinking Water in Migrant Farm Worker Camps
11:15 a.m. Enforcement and Compliance History Online (ECHO) Presentation
- Betsy Smidinger, EPA Office of Compliance
12:15 p.m. LUNCH
1:30 p.m. Supplemental Environmental Projects (SEPs)
- Rosemarie Kelley, EPA Office of Regulatory Enforcement
SEP Overview
Community SEP Guidance
- Representative of the EPA Office of Regulatory Enforcement
SEP - Breathmobile
2:30 p.m. EJ Targeting for Criminal Enforcement Cases
- Representative of the EPA Office of Criminal Enforcement, Forensics, and
Training
3:45 p.m. Compliance Assistance Tools Workgroup Discussion
- Howard Shanker, Work Group Chair, Enforcement Subcommittee
- Susana Almanza, Work Group Member
- Representative of the EPA Office of Compliance
5:00 p.m.
Subcommittee Adjourns
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NEJAC ENFORCEMENT SUBCOMMITTEE
List of Members
2002
DESIGNATED FEDERAL OFFICIAL
Shirley Pate
Office of Enforcement and Compliance
Assurance (OECA)
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, NW (2201 A)
Washington, DC 20460
Phone: (202) 564-2607
Fax: (202)501-0284
E-mail: pate.shirlev@epa.gov
VICE CHAIR
Robert Kuehn - 2 years (AC)
Professor of Law & Director of Clinical
Programs
University of Alabama School of Law
PO Box 870382
Tuscaloosa, AL 35487-0382
Phone: (205)348-0316
Fax: (205)348-1142
E-mail: rkuehn@law.ua.edu
Other Members
Academia
Beverly McQueary Smith - 2 years (AC)
Touro College
300 Nassau Road
Huntington, NY 11743
Phone: (631) 421-2244, ext. 408
Fax: (631)421-2675
E-mail: beverlvs@tourolaw.edu
G. William Rice - 2 years (AC)
University of Tulsa
3120 East Fourth Place
Tulsa, Oklahoma 74104
Phone: (918)631-2456
Fax: (918)631-2194
E-mail: awrice@utulsa.edu
Industry/Business
Howard Shanker - 2 years (IN)
Hagens, Berman & Mitchell, PLLC.
2425 East Camelback Road, Suite 620
Phoenix, AZ 85016
Phone: (602) 840-5900
Fax: (602)840-3012
E-mail: howard@haaens-berman.com
Kenneth Warren - 2 years (IN) *
Wolf, Block, Schorr and Solis-Cohen LLP
1650 Arch Street, 22nd floor
Philadelphia, PA 19103
Phone: (215)977-2276
Fax: (215)405-3876
E-mail: kwarren@wolfblock.com
* = NEJAC Executive Council member
AC = Academia EV = Environmental Group CG = Community Group IN = Industry/Business
NG = Non-governmental Organization SL = State/Local Government T/l = Tribal/Indigenous
Terms of Expiration
(1) = 12/3112002 (2) = 12/31 /2003 (3) = 12/31 /2004
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SBy
„ry
"i Pfl0^
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
MAY 2 2 2/02
OFFICE OF
CNf OHCEMENT AND
COMPLIANCE ASSURANCE
MEMORANDUM
SUBJECT: Issue Referral - NFJAC Enforcement Subcommittee
"Compliance Assistance Tools"
FROM: Mimi Guernica
Deputy Director, Office of Planning, Policy Analysis 8c Communications
TO: NTEJAC Enforcement Subcommittee Members
OECA is seeking advice on how to further improve its compliance assistance program.
In August of last year, the National Advisory Council for Environmental Policy and
Technology's (NACEPT) Compliance Assistance Advisory Committee (CAAC) provided OECA
with numerous recommendations on compliance assistance - including advice that EPA should
identify the local community role in the development and delivery of compliance assistance
tools. A summary of the pertinent CAAC recommendations is attached.
We would like the NE.TAC Enforcement Subcommittee to focus on further improving the
development and delivery of our compliance assistance tools and how they might be improved to
better meet the needs of communities. Specifically, we ask that the Enforcement Subcommittee
provide advice to OECA on the following two questions:
(1) How can EPA design compliance assistance tools to be useful to
affected communities as well as to meet the needs of regulated entities?
(2) How can community groups help EPA improve the delivery of relevant tools to
the entities that need them?
In addition to the issues identified above, the Office of Compliance (OC) would
appreciate the Subcommittee's input on the Compliance Assistance Activity Plan (C'AAP) which
provides an inventory of EPA Regional and Headquarters offices" compliance assistance
activities planned for a fiscal year. Each Summer, the Agency seeks stakeholder input on the
content, tyoe and scope of projects contained in the draft Plan. To date, we have received limited
comment from the environmental justice community on planned compliance assistance activities.
We would welcome input from the Subcommittee, in particular, on the Agency's current and
planned efforts. Therefore, we have attached a copy of the Fiscal Year 2002 Compliance
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1
Assistance Activity Plan tor your review. We will provide you with information at a later date
on accessing information about activities planned fur Fiscal Year 2003. To farther assist you in
answering the two questions that will be the focus of the workgroup's efforts, we have attached
information on the definition of compliance assistance used by the Agency and information on
some of the principal mechanisms for delivering information on compliance assistance tools,
namely the Compliance Assistance Clearinghouse and the Compliance Assistance Centers.
To make sure that we have the fall range of expertise required to examine these issues,
we have identified additional advisors (we will provide you a list of their names ana affiliations
shortly) to assist the Enforcement Subcommittee in this effort. These advisors will join with
interested members of the Subcommittee to form a workgroup focused specifically on
compliance assistance tools issues. We hope the workgroup can begin its deliberations in early
June with a conference call in which managers and staff from the Office of Compliance will
provide additional background on the issues. During this call, we will discuss the specific format
you should use for presenting your initial recommendations (usually a draft report) along with a
time frame lor completion. Since we plan to share your recommendations with the current
CAAC, we would like to receive your recommendations before the next CAAC meeting which is
tentatively scheduled for December 2002. If follow-up issues axe identified, we may ask that
your workgroup be reconvened to develop additional recommendations
To help guide the overall process by which the Workgroup/Subcommittee and EPA will
collaborate on these and other issues, we have attached the final version of the "OEC'A-NEJAC
Enforcement Subcommittee Advice Process1" which incorporates comments you provided us a
few months ago.
As you review and develop recommendations on compliance assistance issues, your
DFO. Shirley Pate (202/564-2607), will be your primary contact. OC's technical and. legal staff
will be available lo confer with you as well, as needed.
We look forward to working witfa you.
Attachments
-CAAC Recommendations
-Compliance Assistance Definition
-Brochure on National Compliance Assistance Clearinghouse
-FY'2002 Compliance Assistance Activity Plan
-OECA-MEJAC Enforcement Subcommittee Advice Process
ec: Mike Statil. OC w/o attachments
Lisa Lund. OC
Barry Hill. OEJ
Charles Lee. OEJ
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3
Mars' Kay Lynch, OPPAC w/o attachments
Jim Edward. OC
fCarin Leff, OC
.Robert Fentress, OPPAC
Debbie Thomas, OC
Joanne Berman, OC "
Shirley Pate, OPPAC
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Health and Research
Subcommittee
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AGENDA
NEJAC Health and Research Subcommittee
Baltimore, Maryland
December 11, 2002
8:00 a.m. Welcome and Review of Agenda
- Jane K. Stahl, Chair
- Hal Zenick, EPA Office of Research and Development
- Carmelita White, EPA Office of Pollution Prevention and Toxics (OPPT)
Meeting Announcements/Logistics
- Aretha D. Brockett, Co-Designated Federal Official
8:30 a.m. Overview of November 2002 Region 6 Listening Session
- Pamela Kingfisher, Vice Chair
9:00 a.m. Q&A Session
9:15 a.m. Overview of Pollution Prevention (P2) Report
- Representative of P2 Workgroup or EPA OPPT
9:45 a.m. Q&A Session
10:00 a.m. BREAK
10:10 a.m. Subcommittee Working Session
- Discussion of Cumulative Risk Assessment and Establishment of Working
Group
- Discussion of Contaminated Science Sediments Plan
Section 3.8: Risk Communication and Community Involvement
12:00 p.m. LUNCH
1:00 p.m. Overview of Impacts of Post-9-11 Tragedy
- Representative of EPA Region 2
1:30 p.m. Q&A Session
1:45 p.m. BREAK
2:00 p.m. Subcommittee Working Session (Cont'd)
- Continuation of Discussion on the Contaminated Sediments Science Plan
- Subcommittee Recommendations and Next Steps
6:00 p.m.
Health and Research Subcommittee Meeting Adjourns
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NEJAC HEALTH AND RESEARCH SUBCOMMITTEE
List of Members
2002
DESIGNATED FEDERAL OFFICIALS
Brenda E. Washington (Co-DFO)
Office of Research and Development
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, N.W.
Washington, DC 20460
Phone: (202) 564-6781
Fax: (202)565-2912
E-mail: ashington.brenda@epa.gov
Aretha D. Brockett (Co-DFO)
Office of Pollution Prevention and Toxics
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, N.W.
Washington, DC 20460
Phone: (202)260-3810
Fax: (202) 260-0575
E-mail: brockett.aretha@epa.gov
CHAIR
Jane K. Stahl,-1 year (SL) *
Deputy Commissioner
Connecticut Department of Environmental
Protection
79 Elm Street
Hartford, CT 06106
Phone: (860) 424-3009
Fax: (860) 424-4054
E-mail: iane.stahl@po.state.ct.us
VICE-CHAIR
Pamela Kingfisher- 2 years (T/l) *
Indigenous Women's Network
13621 FM 2769
Austin, TX 78726
Phone: (512)288-6003
Fax: (512)258-1858
E-mail: kingfisher@mindspring.com
Other Members
Academia
Richard Gragg- 2 years *
Assistant Professor/Associate Director
Environmental Science Institute
Florida A&M University
Tallahassee, FL 32307-6600
Phone: (850) 599-8549
Fax: (850) 559-2248
E-mail: richard.graggiii@famu.edu
Jan Marie Fritz- 3 years
Associate Professor
School of Planning and Health Policy
University of Cincinnati
P.O. Box 210016
Cincinnati, OH 45221-0016
Phone: (513)556-0208
Fax: (513)556-1274
E-mail: ian.fritz@uc.edu
Lawrence Dark-1 year
National Director of ISM
Academy of Leadership
University of Maryland
College Park, MD 20742-7715
Phone: (301)405-3226
Fax: (301)405-6402
E-mail: ldark@academv.umd.edu
Dorothy Powell- 3 years
Associate Dean
College of Pharmacy, Nursing and Allied
Health Sciences
Howard University
Washington, DC 20059
Phone: (202) 806-7459
Fax:
E-mail: dpowell@howard.edu
Franklin Carver- 3 years
Academic Affairs Division
P.O. Box 19768
103 Hoey Administration Building
North Carolina Central University
Durham, NC 27707
Phone: (919)530-7371
Fax: (919)530-7962
E-mail: fcarver@wpo. nccu. ed u
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Community Group
Valerie Jo Bradley- 3 years
Executive Director
Mt. Morris Park Community Improvement
Association
144 West 120th Street
New York, NY 10027
Phone: (212)749-7289
Fax: (212)749-3987
E-mail: valbradlev@aol.com
Industry/Business
Mark Armentrout- 3 years
Corporate Air Compliance Manager
Degussa Corporation
Theodore Industrial Park
Theodore, AL 36590
Phone: (251) 443-2555
Fax: (251) 443-4050
E-mail: mark.armentrout@dequssa.com
Non-Govemmental/Environmental Group
Laura Luster- 3 years
Program Manager, Training and
Community Development
Luster National, Inc.
1001 Broadway, Suite 214
Oakland, CA 94607
Phone: (510) 622-0004, ext. 121
Fax: (510)622-0074
E-mail: lluster@luster.com
Rev. Adora Lee- 3 years *
Director of Environmental Justice Programs
United Church of Christ
Justice and Witness Ministries
110 Maryland Avenue, NE, Suite 207
Washington, DC 20002
Phone: (202)543-1517
Fax: (202) 543-5994
E-mail: adoracri @aol. com
Mark Mitchell- 3 years
President
Connecticut Coalition for Environmental
Justice
P.O. Box 1421
Hartford, CT 06143
Phone: (860)548-1133
Fax: (860)548-9197
E-mail: mark.mitchell@environmental-iustice.org
State/Local
Lori Kaplan- 3 years *
Commissioner
Indiana Department of Environmental
Management
100 North Senate Avenue, Room 1301
Indianapolis, Indiana 46204
Phone: (317)232-8611
Fax:
E-mail: lkaplan@dem.state.in.us
Walter Handy- 3 years *
Assistant Commissioner of Health
Cincinnati Health Department
3101 Burnet Avenue
Cincinnati, OH 45229
Phone: 513-357-7271
Fax: 513-357-7290
E-mail: walter.handv@rcc.ora
* = NEJAC Executive Council member
AC = Academia EV = Environmental Group CG = Community Group IN = Industry/Business
NG = Non-governmental Organization SL = State/Local Government T/l = Tribal/Indigenous
Terms of Expiration
(1)= 12731/2002 (2) = 12/31/2003 (3) = 12/31/2004
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National Environmental Justice Advisory Council
HEALTH AND RESEARCH SUBCOMMITTEE
DRAFT STRATEGIC PLAN (SEPTEMBER 2002-2004)
September 30, 2002
DRAFT
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COMPOSITION OF THE SUBCOMMITTEE
Members of the Subcommittee are selected from the following groups: individuals from
academia, representatives of state and local governments that govern areas neighboring
environmentally and economically distressed communities; a person from the Indigenous
community; and representatives of businesses or industries that work directly or indirectly with
impact minority communities, low-income communities and/or tribes.
The following is the current Health and Research Subcommittee membership:
Brenda E. Washington, Co-Designated Federal Officer
Office of Research and Development
Aretha D. Brockett, Co-Designated Federal Officer
Office of Pollution Prevention and Toxics
Jane K. Stahl, Chair
Pamela Kingfisher, Acting Vice Chair
Members
Mark A. Armentrout
Valerie Jo Bradley
Franklin B. Carver
Lawrence J. Dark
Jan Marie Fritz
Richard Gragg, III
Walter S. Handy
Lori F. Kaplan
Adora Iris Lee
Laura I. Luster
Mark A. Mitchell
Dorothy L. Powell
Disclaimer
This document has been reviewed and accepted by EPA as a part of the activities of the National
Environmental Justice Advisory Council, a public advisory committee providing external policy
information and advice to the Administrator and other officials of the United States
Environmental Protection Agency (EPA). The Council is structured to provide balanced, expert
assessment of issues related to environmental justice.
DRAFT
11/20/02
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
Washington, D.C. 20460
DRAFT
MEMORANDUM
SUBJECT: ORD and OPPTS Approval of the Health and Research Subcommittee
Strategic Plan
FROM: William H. Farland, Acting
Deputy Assistant Administrator for Science
Office of Research and Development (8101R)
Charles M. Auer, Director
Office of Pollution Prevention and Toxics (7401)
TO: Barry E. Hill, Director
Office of Environmental Justice (2201 A)
This memorandum restates the commitment of the Office of Research and Development (ORD)
and the Office of Pollution Prevention and Toxics (OPPT) to co-sponsor and support the Strategic Plan
developed by the Health and Research Subcommittee of the National Environmental Justice Advisory
Council (NEJAC). In close consultation with the ORD and OPPT's programs and management, the
Health and Research Subcommittee has developed the attached a two-year Strategic Plan for its work
throughout September 2004. The Plan includes the mission for the Subcommittee as well as the activities
to accomplish the Subcommittee goals.
We understand that after the program offices' approval, the Strategic Plan is presented for
consideration and approval to the NEJAC Executive Council. Please let us know if the Executive Council
needs additional information for its review of this plan. ORD and OPPT are confident that through the
accomplishments of its work the Subcommittee will provide the EPA, through the NEJAC Executive
Council, timely and independent advice and recommendations on health and research issues.
If you need more information, please contact Brenda E. Washington at (202) 564-6781 or Aretha
Brockett at (202) 564-0911.
Attachment
cc: Kevin Teichman
Charles Lee
Marva King
Jeff Morris
Brenda E. Washington
Aretha Brockett
Carmelita White
Gary Carroll
DRAFT
11/20/02
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NATIONAL Environmental Justice Advisory Council
HEALTH AND RESEARCH SUBCOMMITTEE (HRS)
STRATEGIC PLAN (SEPTEMBER 2002-2004)
TABLE OF CONTENTS
EPA APPROVAL LETTER(S) I
INTRODUCTION 1
Mission 1
Goals 1
SUBCOMMITTEE OBJECTIVES 2
Objective 1 2
Objective 2 2
Objective 3 4
Objective 4 4
NEJAC MISSION STATEMENT 14
HISTORICAL PERSPECTIVE AND ACCOMPLISHMENTS OF SUBCOMMITTEE 15
Historical Perspective 15
Accomplishments 15
DRAFT
J1/20/02
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National Environmental Justice Advisory Council
HEALTH AND RESEARCH SUBCOMMITTEE (HRS)
STRATEGIC PLAN (SEPTEMBER 2002-2004)
INTRODUCTION
The mission of the National Environmental Justice Advisory Council (NEJAC) is to
provide independent advice and recommendations to the Environmental Protection Agency (EPA)
that will help to improve the direction and implementation of environmental justice programs and
initiatives. As one of seven subcommittees to the NEJAC, the Health and Research
Subcommittee (HRS) has created a two year strategic plan to guide its work in 2002-2004 in
providing advice on how to most effectively address environmental justice issues (e.g., pertaining
to health disparities at the community level, in homes, workplaces, and ecosystems, etc.)
SUBCOMMITTEE MISSION
The mission of the Health and Research Subcommittee is to provide timely, relevant,
cogent and independent advice to the NEJAC Executive Council, and to the EPA in areas related
to health and research in accordance with the NEJAC's mission. This will be done by promoting
healthy communities through the elimination of health disparities, and the adaptation, modification
and development of EPA policies and procedures. The members of the Subcommittee will draw
upon their collective experiences, knowledge, and expertise to assist the NEJAC in its formulation
of recommendations to the EPA on environmental justice policies and programs as they relate to
healthy communities, homes, workplaces, and ecosystems.
SUBCOMMITTEE GOALS AND OBJECTIVES
To achieve its mission, the Subcommittee:
Will provide recommendations to the NEJAC Executive Council and to the EPA
about potentially effective approaches and resources allocations to address items
of vital importance to the EJ mission.
• Has developed the following goals and objectives to pursue over the next two
years:
1. Encourage a research and programmatic agenda that addresses the relationship
between environmental stressors and health disparities in at-risk communities (e.g.,
minority communities, low income communities, and tribal communities).
DRAFT
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1.1 Consistent with the EPA's efforts on cumulative risk, conduct pilot studies
and/or demonstration projects using cumulative risk assessment with at
least two types of populations, including an over sampling of at-risk
communities.
1.2 By October 1, 2003 encourage, through recommendations, collaborative
studies and programs across local, state and federal agencies to address
complex health disparities (e.g., grant criteria, priority setting of agency
research, agency initiated collaborative activities and assure that all
pertinent research is carried on using a culturally sensitive methodology);
and the relationship between blood lead level and academic achievement.
Encourage through recommendations the development and application of
assessment and evaluation tools that examine the relationship between
environmental stressors and health disparities.
2.1 Framework for Cumulative Risk Assessment
By July 15, 2003, pursuant to the request of the Cumulative Risk
Assessment Panel, respond to the following questions:
A. Does the framework for cumulative risk provide a clear process for
identifying environmental stressors or sources of environmental
stressors?
B. Does the framework provide for effective communication and
involvement of stakeholders (including EJ communities) in the
planning, problem formulation, and analysis of cumulative risk
assessments? What additional information or advice should be
added, if any?
C. Is the explanation of the risk assessment analysis phase clear? Do
you have suggestions for information EJ communities could
provide?
D. Does the cumulative risk framework appeal to the needs of EJ
communities for addressing community concerns about
environmental pollution?
E. Can you suggest examples of community concerns that could be
addressed through this cumulative risk framework? If so, could the
example be used as a case study?
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F. What aspects of the framework are most valuable to EJ
communities? What aspects may cause problems? How can the
problems be eliminated for EJ community applications?
The Subcommittee does not have to limit their responses and/or recommendations
to the above charge questions.
2.2 By September 15, 2003, identify opportunities and methods for using the
cumulative risk assessments to address health disparities in at-risk
communities.
2.3 By September 15, 2003, determine whether cumulative risk assessment
tools can be used to better define disproportionate impacts that may be
incorporated in integrated environmental programs.
2.4 Contaminated Sediments
By January 11, 2003, pursuant to the request of the Contaminated
Sediments Workgroup, review the latest draft plan and respond to the
following questions:
Regarding Section 3.8 of the Contaminated Sediments Science
Plan, Risk Communication and Community Involvement,
A. Does the Subcommittee find the description of the risk
communication and community involvement science
activities to be clear and understandable? Are there other
recommendations the Subcommittee would make in
addition to, or instead of, developing better methods,
models, and tools for risk communication and community
involvement (G.l)?
B. Does the Subcommittee have comments on the highest
priority science needs identified in this section of the plan,
and on any additional science needs?
C. The Contaminated Sediments Science Plan represents the
first formal example of an Agency science plan on a specific
cross-Agency office- and region-wide activity. Does the
Subcommittee think that the use of a science plan represents
a good approach to coordinating across EPA on cross-
cutting science issues?
DRAFT
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D. Does the Subcommittee have recommendations for better
approaches to effectively solicit input from the NEJAC on
future Agency science plans?
2.5 By July 15, 2003, determine the feasibility and recommend a method for
implementing the policy so it does not have a detrimental effect on at-risk
communities.
3. Encourage the identification, promotion and integration of culturally appropriate
community-based strategies such as advocacy, networking, and educational
interventions that increase the capacity of at-risk communities to address potential
and actual environmental risks.
3.1 By July 15, 2004, evaluate, identify and promote, if appropriate, strategies
for leveraging resources among various agencies and organizations to
facilitate enhanced quality of life for at-risk communities impacted by
environmental stressors.
3.2 By December 11, 2002, recommend the establishment of a NEJAC Work
Group to establish strategies that translate EPA documents, such as the
Toxic Release Inventory, into user-friendly formats.
3.3 By November 30, 2003, recommend strategies that promote the
development of enhanced strategic capacity and competence of
community-based advisory committees to better advocate on behalf of their
constituencies.
4. Make recommendations regarding the implementation of public health programs
and other strategies that prevent and/or reduce exposure of at-risk communities to
environmental stressors.
4.1 By June 1, 2004, make recommendations to EPA for transmittal to local,
regional and national public health agencies encouraging them to develop
and implement programs specifically designed for at-risk populations to
reduce and/or prevent risks associated with environmental exposure to
toxic substances.
4.2 By June 1, 2004, make recommendations to EPA regarding the
development of topic specific risk and/or hazard communication strategies
that are relevant and culturally suitable to at-risk communities.
4.3 By June 1, 2004, make recommendations to EPA regarding the promotion
of cleaner and safer environments by identifying pollution prevention and
DRAFT
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risk management strategies aimed at eliminating, reducing or minimizing
emissions and contamination. (Make time frame consistent with other
objectives on P2.)
These objectives are further defined below and include key activities and time frames concerning
how they will be accomplished.
GOAL 1: Encourage a research and programmatic agenda that addresses the relationship
between environmental stressors and health disparities in at-risk communities (e.g., minority
communities, low income communities, and tribal communities).
OBJECTIVE 1.1: Consistent with the EPA's efforts on cumulative risk, conduct pilot studies or
demonstration projects using cumulative risk assessment with at least two types of populations,
including an over sampling of at-risk communities.
Product/Activity:
Desired Outcome:
Subcommittee Leads:
Key Activities (or Key Focus) & Time Lines:
Key Activity
Due Date
Projected Outcome
Cumulative risk assessment pilot studies and
demonstration projects
Research that applies CRA
to assess the relationship
between environmental
stressor and health
disparities in at-risk
populations
Provide information and advice relate to:
a. environmental stressors and health
disparities
b. inclusion of appropriate at-risk populations
populations
Critical Success Factors:
DRAFT
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Supporting Organizations:
Internal
External
OBJECTIVE 1.2: By October 1,2003 encourage, through recommendations, collaborative
studies and programs across locaL, state and federal agencies to address complex health disparities
(e.g., grant criteria, priority setting of agency research, agency initiated collaborative activities and
assure that all pertinent research is carried on using a culturally sensitive methodology); and the
relationship between blood lead level and academic achievement.
Product/Activity:
Desired Outcome:
Subcommittee Leads:
Key Activities (or Key Focus) & Time Lines:
Key Activity
Due Date
Projected Outcome
Recommendations for collaborative studies
and programs across local, state and federal
agencies
10/01/03
A collaborative research
approach to the relationship
between environmental
stressor and health
disparities in at-risk
populations
Provide information and advice related to:
c. complex health disparity issues affecting
at-risk, populations
d. culturally sensitive research
methodologies
DRAFT
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Critical Success Factors:
Supporting Organizations:
Internal
External
GOAL 2: Encourage through recommendations the development and application of assessment
and evaluation tools that examine the relationship between environmental stressors and health
disparities.
OBJECTIVE 2.1: Framework for Cumulative Risk Assessment - By July 15, 2003, pursuant to
the request of the Cumulative Risk Assessment Panel, respond to their questions.
Product/Activity:
Desired Outcome:
Subcommittee Leads:
Key Activities (or Key Focus) & Time Lines:
Key Activity
Due Date
Projected Outcome
Respond to CRA Framework questions.
07/03
Enhancement of EJ issues in
Framework for CRA
Provide information and advice related to:
e. CRA and environmental justice
DRAFT
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Critical Success Factors:
Supporting Organizations:
Internal
External
OBJECTIVE 2.2: By September 15, 2003, identify opportunities and methods for using the
cumulative risk assessments to address health disparities in at-risk communities.
Product/Activity:
Desired Outcome:
Subcommittee Leads:
Key Activities (or Key Focus) & Time Lines:
Key Activity
Due Date
Projected Outcome
Advise on the use of CRA in eliminating
health disparities
08/15/03
Application of CRA to
eliminate health disparities
Provide information and advice related to:
f. At-risk communities
Critical Success Factors:
DRAFT
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Supporting Organizations:
Internal
External
OBJECTIVE 2.3: By September 15, 2003, determine whether cumulative risk assessment tools
can be used to better define disproportionate impacts that may be incorporated in integrated
environmental programs.
Product/Activity:
Desired Outcome:
Subcommittee Leads:
Key Activities (or Key Focus) & Time Lines:
Key Activity
Due Date
Projected Outcome
Assess ability of CRA to define
disproportionate impacts
08/15/03
Better understanding of the
effectiveness of CRA in
defining disproportionate
impacts
Provide information and advice related to:
g. CRA and disproportionate impacts
Critical Success Factors:
DRAFT
5
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Supporting Organizations:
Internal
External
OBJECTIVE 2.4: Contaminated Sediments - By January 11, 2003, pursuant to the request of
the Contaminated Sediments Workgroup, review the latest draft plan and respond to their
questions:
Product/Activity:
Desired Outcome:
Subcommittee Leads:
Key Activities (or Key Focus) & Time Lines:
Key Activity
Due Date
Projected Outcome
Respond to contaminated sediment
workgroup questions
01/11/03E
nhancement of EJ issues in
Contaminated Sediments
Plan
Provide information and advice related to:
h. EJ and contaminated sediments
Critical Success Factors:
Supporting Organizations:
DRAFT
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Internal
External
OBJECTIVE 2.5: By July 15,2003, determine the feasibility and recommend a method for
implementing the policy so it does not have a detrimental effect on at-risk communities.
Product/Activity:
Desired Outcome:
Subcommittee Leads:
Key Activities (or Key Focus) & Time Lines:
Key Activity
Due Date
Projected Outcome
Advise on feasability and method of
implementing contaminated sediments plan
that provide benefits to at-risk communities
07/15/03
Enhancement of EJ issues in
Contaminated Sediments
Plan
Provide information and advice related to:
i. EJ and contaminated sediments
Critical Success Factors:
•
•
•
Supporting Organizations:
Internal
External
DRAFT
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GOAL 3: Encourage the identification, promotion and integration of culturally appropriate
community-based strategies such as advocacy, networking, and educational interventions that
increase the capacity of at-risk communities to address potential and actual environmental risks.
OBJECTIVE 3.1: By July 15, 2004, evaluate, identify and promote, if appropriate, strategies
for leveraging resources among various agencies and organizations to facilitate enhanced quality
of life for at-risk communities impacted by environmental stressors.
Product/Activity:
Desired Outcome:
Subcommittee Leads:
Key Activities (or Key Focus) & Time Lines:
Key Activity
Due Date
Projected Outcome
Recommend strategies for collaborative
approach to enhance quality of life for at-risk
communities impacted by environmental
stressors
07/15/04
Enhanced quality of life in
at-risk communities
Provide information and advice related to:
j. A collaborative approach to enhancing the
quality of life in at-risk communities
Critical Success Factors:
Supporting Organizations:
Internal
External
DRAFT
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OBJECTIVE 3.2: By December 11, 2002, recommend the establishment of a NEJAC Work
Group to establish strategies that translate EPA documents, such as the Toxic Release Inventory,
into user-friendly formats.
Product/Activity:
Desired Outcome:
Subcommittee Leads:
Key Activities (or Key Focus) & Time Lines:
Key Activity
Due Date
Projected Outcome
Recommend establishment of NEJAC EPA
document review workgroup
12/11/02
User-friendly EPA
documents
Provide information and advice related to:
k. Producing user-friendly documents
Critical Success Factors:
•
•
•
Supporting Organizations:
Internal
External
OBJECTIVE 3.3: By November 30, 2003, recommend strategies that promote the development
of enhanced strategic capacity and competence of community-based advisory committees to
better advocate on behalf of their constituencies.
Product/Activity:
Desired Outcome:
DRAFT
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Subcommittee Leads:
Key Activities (or Key Focus) & Time Lines:
Key Activity
Due Date
Projected Outcome
Recommend education strategies for
community-based advisory committees
11/30/03
Community-based advisory
committees with enhanced
capacity to engage in
dialogue with environmental
science and policy
stakeholders
Provide information and advice related to:
1. Environmental science and policy
education strategies for citizens in at-risk
communities
Critical Success Factors:
•
•
•
Supporting Organizations:
Internal
External
GOAL 4: Make recommendations regarding the implementation of public health programs and
other strategies that prevent and/or reduce exposure of at-risk communities to environmental
stressors.
OBJECTIVE 4.1: By June 1, 2004, make recommendations to EPA for transmittal to local,
regional and national public health agencies encouraging them to develop and implement
DRAFT
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programs specifically designed for at-risk populations to reduce and/or prevent risks associated
with environmental exposure to toxic substances.
Product/Activity:
Desired Outcome:
Subcommittee Leads:
Key Activities (or Key Focus) & Time Lines:
Key Activity
Due Date
Projected Outcome
Advise collaboration between EPA and local,
state, regional and national public health
agencies in development and implementation
of toxic risk prevention, reduction, and
exposure programs for at-risk populations
06/01/04
Toxic risk prevention,
reduction, and exposure for
at-risk populations
Provide information and advice related to:
m. A collaborative approach to toxic risk
prevention, reduction, and exposure programs
for at-risk populations
Critical Success Factors:
Supporting Organizations:
Internal
External
OBJECTIVE 4.2: By June 1, 2004, make recommendations to EPA regarding the development
of topic specific risk and/or hazard communication strategies that are relevant and culturally
DRAFT
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suitable to at-risk communities.
Product/Activity:
Desired Outcome:
Subcommittee Leads:
Key Activities (or Key Focus) & Time Lines:
Key Activity
Due Date
Projected Outcome
Advise on the development of culturally
suitable toxic risk prevention, reduction, and
exposure strategies for at-risk communities
06/01/04
Culturally suitable risk
strategies
Provide information and advice related to:
n. Culturally suitable risk strategies
Critical Success Factors:
Supporting Organizations:
Internal
External
OBJECTIVE 4.3: By June 1, 2004, make recommendations to EPA regarding the promotion of
cleaner and safer environments by identifying pollution prevention and risk management strategies
aimed at eliminating, reducing or minimizing emissions and contamination. (Make time frame
consistent with other objectives on P2.)
Product/Activity:
Desired Outcome:
DRAFT
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Subcommittee Leads:
Key Activities (or Key Focus) & Time Lines:
Key Activity
Due Date
Projected Outcome
Advise on the identification of pollution
prevention and risk management strategies
06/01/04
Eliminating and reducing
emissions and
contaminations
Provide information and advice related to:
o. Promoting cleaner and safer environments
Critical Success Factors:
Supporting Organizations:
Internal
External
DRAFT
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NEJAC MISSION STATEMENTS
The NEJAC was established September 30, 1993. The Council is chartered in two year
increments. The NEJAC's mission is to provide independent advice and recommendations to the
EPA that will help to improve direction and implementation of environmental justice programs
and initiatives as defined in its charter. NEJAC's advice and recommendation shall be directed
toward:
Advice on EPA's framework
development for integrating
socioeconomic programs into
strategic planning, annual planning
and management accountability for
achieving environmental justice
results agency-wide.
Advice on measuring and evaluating
EPA's progress, quality, and
adequacy in planning, developing, and
implementing environmental justice
strategies, projects, and programs.
Advice on EPA's existing and future
information management systems,
technologies, and data collection, and
to conduct analyses that support and
strengthen environmental justice
programs in administrative and
scientific areas.
Advice to help develop, facilitate, and
conduct reviews of the direction,
criteria, scope, and adequacy of the
EPA's scientific research and
demonstration projects relating to
environmental justice.
Provide advice for improving how the
EPA and others participate,
cooperate, and communicate within
the Agency and between other
Federal
agencies, State, or local governments,
Federally recognized Tribes,
environmental justice leaders, interest
groups, and the public.
Advice regarding EPA's
administration of grant programs
relating to environmental justice
assistance (not to include the review
or recommendations of individual
grant proposals or awards).
Advice regarding EPA's awareness,
education, training, and other
outreach activities involving
environmental justice.
DRAFT
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HISTORICAL PERSPECTIVE AND ACCOMPLISHMENTS
Historical Perspective
The NEJAC Health and Research Subcommittee is co-sponsored by the U.S.
Environmental Protection Agency's Office of Research and Development (ORD) and EPA's
Office of Prevention, Pesticides and Toxic Substances (OPPTS).
Since 1993, the Health and Research Subcommittee has recognized that the health
disparities experienced by minority communities, low-income communities and/or tribes are the
result of multiple stressors, many of which are environmentally related. The Subcommittee has
advocated the need to promote and nurture integrated efforts to reduce such disparities. This
means better coordination of existing efforts, to both prevent duplication and enhance
communication of new information. The Subcommittee has facilitated broad public sharing of
information on environmental justice issues as well as alternative approaches and implementation
strategies to address them.
Specific Subcommittee Accomplishments/Activities
Developed, provided review, comment and/or recommendations on the
following material(s):
— Environmental Justice and Community-Based Health Model
Discussion and Recommendations Report
— Draft Fish Consumption Workgroup Report
— NEJA C Strategic Plan
Prepared draft resolutions forwarded to the full NEJAC to vote. These
recommendations included:
— Requested that the EPA Administrator initiate a program to train
"middle management" staff of Federal agencies on how to
incorporate principles of environmental justice into their day-to-day
work.
— Asked the EPA Administrator to request that the U.S. Department
of Energy (DOE) volunteer to establish an environmental justice
office, as a sign of DOE's commitment to Executive Order 12898
on environmental justice and as a step toward achieving the intent
of the Order.
DRAFT
15
11/20/02
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— Asked the EPA Administrator to request documentation on how
Federal agencies can collaborate in providing health-based services
to Low-income and minority communities.
— Requested that the Executive Council recommend that Federal
agencies establish collaborative funds to address the health needs of
communities.
— Requested that the Executive Council recommend that the U.S.
Department of Education be added to the Federal Interagency
Work Group on Environmental Justice.
• Provided recommendations at the NEJAC Executive Council Facilitated
Dialogue Discussion in August 2001. These recommendations included:
— Recommended that the Executive Council establish a new
stakeholder group which would include "youth" to get their
perspective on environmental issues since they are the ones who are
usually most affected.
— Recommended that the Executive Council include as part of the
overall new member orientation a 10-minute FACA video that
explains the ins and outs of the Federal Advisory Committee Act
(FACA) and what it means to work under one.
— Recommended that the Executive Council establish and develop a
Communication Plan along with the overall NEJAC Strategic Plan.
This plan would include: a) how we communicate with OEJ and
vice versa, b) how we can utilize OEJ to communicate with other
Agency program offices, and c) how EPA and OEJ communicate
with the public.
— Recommended to the Council that OEJ be responsible for
communicating to the NEJAC all upcoming Agency rules,
regulations and other relevant items. Also, recommended, as part
of the NEJAC's structure, they consider putting together a planning
group whose sole responsibility is to communicate all of the
Agency's rules, regulations, and other relevant items.
In keeping with the mission of the NEJAC's charter, the Health and Research
Subcommittee has provided recommendations and advice to the Environmental Protection
Agency and the NEJAC on many health-related issues and look forward to continuing in its effort
of
DRAFT
16
11/20/02
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"Building Dynamic and Proactive Partnerships to Eliminate Health Disparities in Environmentally
and Economically Distressed Communities".
DRAFT
17
11/20/02
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Indigenous Peoples
Subcommittee
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AGENDA
NEJAC Indigenous Peoples Subcommittee
Baltimore, Maryland
December 11, 2002
9:00 a.m. Invocation
Review Agenda
9:15 a.m. Review and Revise the Recommendations from
the Executive Council Meeting and in the Draft NEJAC Report
10:45 a.m. BREAK
11:00 a.m. Presentations from Invited Presenters
12:00 p.m. Lunch
1:00 p.m. Continue Effort to Develop IPS Recommendations on Pollution Prevention
3:15 p.m. Joint Session with Enforcement Subcommittee on OECA's ECHO Database
3:45 p.m. BREAK
4:00 p.m. IPS Priorities for 2003
Discuss Project Leads
Updates on Projects
5:00 p.m.
Subcommittee Adjourns
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NEJAC INDIGENOUS PEOPLES SUBCOMMITTEE
List of Members
2002
DESIGNATED FEDERAL OFFICIALS
Daniel Gogal (DFO)
Office of Environmental Justice
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue (MC 2201-A)
Washington, DC 20460
Phone: (202) 564-2576
Fax: (202)501-0740
E-mail: aoQal.dannv@epamail.epa.aov
Jose Aguto (Acting Alternate DFO)
American Indian Environmental Office
U.S. Environmental Protection Agency
1200 Pennsylvania Avenue, NW (MC 4104)
Washington, DC 20460
Phone: (202) 564-0289
Fax: (202) 564-0298
E-mail: aquto.iose@epa.gov
ACTING CHAIR
Jana L. Walker -1 year (IN) *
Attorney at Law
141 Placitas Trails Road
Placitas, NM 87043
Phone: (505) 867-0579
Fax: (505) 867-0579
E-mail: ndnlaw@.sprintmail.com
ACTING VICE CHAIR
Coleen Poler - 2 years (NG)
Mole Lake Sokoagon Defense Committee
RR 1 Box 2015
Crandon, Wl 54520
Phone: (715)478-5033
Fax: (715)365-8977
E-mail: polersdc@newnorth.net
Other Members
Academia
Dean B. Suagee -1 year (AC)
Vermont Law School
First Nations Environmental Law Program
Chelsea Street
South Royalton, VT 05068
Phone: (802) 763-8303 Ext. 2341
Fax: (802) 763-2940
Email: dsuaqee@vermontlaw.edu
State/Local
Karen Wilde Rogers - 3 years (SL)
Executive Secretary
Colorado Commission of Indian Affairs
200 East Colfax, Room 130
Denver, CO 80203
Phone: (303) 866-3027
Fax: (303) 866-5469
E-mail: kwild4@hotmail.com
Tribal/Indigenous
Don Aragon -1 year (T/l) - TOC Liaison
Executive Director for Environmental Quality
Shoshone & Northern Arapaho Tribes
Building Ten - Washakie Street
PO Box 217
Ft. Washakie, WY 82514
Phone: (307)332-3164
Fax: (307) 332-7579
E-mail: Daragon@Wvoming.com
Terms of Expiration
(1) = 12/31/2002 (2) = 12/31/2003 (3) = 12/31/2004
Anna Frazier - 2 years (T/l) *
Dine' CARE
HCR 63 Box 263
Winslow, AZ 86047
Phone: (928) 657-3291
Fax: (928)657-3319
E-mail: dinecare@cnetco.com
Moses Squeochs -1 year (T/l)
Confederated Tribes and Bands of Yakama
Nation
Yakama Nation Environmental Program
P.O. Box 151, Fort Road
Toppenish, WA 98948
Phone: (509) 865-5121 Ext. 659
Fax: (509) 865-5522
E-mail: mose@vakama.com
Terry Williams - 3 years (T/l)*
Fisheries and Natural Resources Commissioner
The Tulalip Tribes
6700 Totem Beach Road
Tulalip, WA 98271-9694
Phone: (360)651-4000
Fax: (360)651-3701
E-mail: dwilliams@tulalip.nsn. us
* = NEJAC Executive Council member
AC = Academia EV = Environmental Group
CG = Community Group IN = Industry/Business
NG = Non-governmental Organization
SL = State/Local Government T/l = Tribal/Indigenous
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National Environmental Justice Advisory Council
INDIGENOUS PEOPLES SUBCOMMITTEE
DRAFT STRATEGIC PLAN (SEPTEMBER 2002-2004)
September 30, 2002
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COMPOSITION OF THE SUBCOMMITTEE
Members of the Subcommittee are selected from the following groups: elders and spiritual
leaders from indigenous communities; individuals from indigenous communities who have first-
hand knowledge of environmental justice issues feeing indigenous peoples; members of
organizations that address environmental impacts on indigenous communities; members of
academia; representatives of federally-recognized American Indian and Alaska Native tribal
governments that assert their sovereign powers to manage, protect, and restore tribal ecosystems;
representatives of state and local governments that govern areas neighboring indigenous
communities; and representatives of businesses or industries that work with or directly or
indirectly impact tribes and/or indigenous communities. The Subcommittee also works closely
with a Designated Federal Official who is knowledgeable about federal environmental programs
available to indigenous peoples.
The 2002 EPS is comprised of the following persons:
Jana L. Walker, Law Office of Jana L. Walker - Acting Chair
Coleen Poler, Sokoagon Defense Committee - Acting Vice Chair
Moses Squeochs, Confederated Tribes and Bands of Yakima Nation
Dean B. Suagee, Vermont Law School
Anna Frazier, Dine' CARE
Karen Wilde-Rogers, Colorado Commission of Indian Affairs
Don Aragon, Shoshone and Northern Arapaho Tribes
Terry Williams, The Tulalip Tribes
Daniel E. Gogal, EPA Office of Environmental Justice, Designated Federal Official
Jose Aguto, EPA American Indian Environmental Office, Designated Federal Official
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
OFFICE OF
ENFORCEMENT AND
COMPLIANCE ASSURANCE
November 22, 2002
MEMORANDUM TO FILE
SUBJECT: OEJ Approval of the Indigenous Peoples Subcommittee Strategic Plan
FROM: Barry E. Hill, Director /s/
Office of Environmental Justice
In consultation with the American Indian Environmental Office, the Office of Environmental Justice
(OEJ) reviewed and has approved the two-year Strategic Plande veloped by the Indigenous Peoples
Subcommittee (IPS) of the National Environmental Justice Advisory Council (NEJAC).
cc: Carol Jorgensen, Director, AIEO
Terry Williams, Acting Chair, PS
Charles Lee, DFO, NEJAC
Daniel Gogal, DFO, IPS
Jose Aguto, Alternate DFO, IPS
u
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TABLE OF CONTENTS
COMPOSITION OF THE SUBCOMMITTEE i
LETTER FROM SPONSORING PROGRAM OFFICE MANAGEMENT APPROVING THE
STRATEGIC PLAN ii
INTRODUCTION 1
MISSION 1
GOALS AND OBJECTIVES 1
GOAL 1 3
OBJECTIVE 1.1 3
OBJECTIVE 1.2 4
OBJECTIVE 1.3 5
OBJECTIVE 1.4 7
OBJECTIVE 1.5 9
GOAL 2 10
OBJECTIVE 2.1 10
GOAL 3 12
OBJECTIVE 3.1 12
OBJECTIVE 3.2 13
GOAL 4 15
OBJECTIVE 4.1 15
KEY FEDERAL AND EPA POLICIES RELEVANT TO THE IPS STRATEGIC PLAN 17
NEJAC MISSION STATEMENT 18
IPS HISTORICAL PERSPECTIVE AND ACCOMPLISHMENTS 19
HISTORICAL PERSPECTIVE 19
ACCOMPLISHMENTS 19
SITE SPECIFIC RESOLUTIONS 19
INTERNATIONAL POLICY RECOMMENDATIONS 20
DOMESTIC POLICY RECOMMENDATIONS 20
OUTREACH AND COLLABORATION ACTIVITIES 21
iii
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National Environmental Justice advisory Council
INDIGENOUS PEOPLES SUBCOMMITTEE (IPS)
STRATEGIC PLAN (2002-2004)
INTRODUCTION
The National Environmental Justice Advisory Council's (NEJAC) mission is to provide
independent advice and recommendations to the Environmental Protection Agency (EPA) that will
help to improve the direction and implementation of environmental justice programs and initiatives.
As one of seven subcommittees of the NEJAC, the Indigenous Peoples Subcommittee (IPS) has
developed a two year strategic plan to guide its work in 2002-2004 to provide advice and
recommendations on how EPA can most effectively address environmental justice issues impacting
federally recognized tribes, including Alaska Native villages (Tribes), and other indigenous peoples.
MISSION
The members of the IPS will draw upon their collective experiences, knowledge, and expertise
to facilitate NEJAC's formulation of recommendations and advice provided to EPA on all matters
of environmental justice affecting Tribes and other indigenous peoples, including but not limited to
the development, implementation, and enforcement of federal environmental laws, regulations, and
policies within Indian country and Alaska Native villages. To achieve its mission, the IPS has
developed four goals and a set of corresponding objectives.
GOALS AND OBJECTIVES
The IPS has identified the following four goals and eight specific objectives to be pursued
over the next two years:
Goal 1: Assist the NEJAC in providing recommendations and advice to EPA on the
development and implementation of EPA policy, guidance, activities, and
protocol, as well as environmental legislation and regulations, to help achieve
environmental justice for Tribes and other indigenous peoples.
1.1 Identify what actions EPA should take to protect and restore aquatic
ecosystems in order to protect the health and subsistence life ways of tribal
communities and other indigenous peoples consuming or using fish, plants,
and wildlife.
1.2 Identify ways pollution prevention can effectively be used to advance issues
of environmental justice in Indian country and feeing Alaska Natives, as well
as other indigenous peoples.
1.3 Identify how EPA might assist interested Tribes in identifying and addressing
environmental justice issues arising within Indian country and of concern to
Alaska Native villages related to the implementation of federal environmental
laws, regulations, and policies; the development and implementation of
federally authorized and/or approved tribal environmental programs; and the
equitable allocation of EPA resources for tribal programs.
1
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1.4 Provide advice and information concerning how EPA might better address
tribal cultural issues and sacred site protection through the use of the National
Environmental Policy Act (NEPA), the National Historic Preservation Act
(NHPA), and other applicable federal laws.
1.5 Identify what actions EPA should take to protect the environment and pub he
health of tribal communities and other indigenous peoples from the cumulative
impacts of pollutants.
Goal 2: Provide opportunities for representatives of Tribes, other indigenous peoples,
and national, regional, and local tribal and indigenous organizations to bring
their environmental justice concerns to NEJAC's attention as it develops policy
advice and recommendations for EPA to address those concerns.
2.1 Promote efforts aimed at ensuring proper outreach to and input from Tribes,
other indigenous peoples, and national, regional, and local tribal and
indigenous organizations about the environmentaljustice issues affecting them
as well as the goals, objectives, and activities of the IPS.
Goal 3: Provide recommendations and advice to NEJAC and its subcommittees to
ensure that environmental justice issues affecting, involving, or of concern to
Tribes are addressed by EPA in a manner that fulfills the trust responsibility,
respects tribal sovereignty and the government-to-government relationship,
upholds treaties, and promotes tribal self-determination.
3.1 Participate in the orientation of NEJAC and its members, and create and
maintain an updated information handout for NEJAC and its subcommittees
regarding basic principles of federal Indian law and policy, EPA Indian
environmental policy, environmental regulatory role of Tribes under the
federal environmental laws, and general facts regarding Indian country,
Tribes, and other indigenous peoples.
3.2 Evaluate and assess the need to revise, distribute, and provide follow-up on
the Consultation and Collaboration Guide.
Goal 4: Coordinate and collaborate with EPA-supported tribal organizations and
NEJAC and its subcommittees and workgroups to identify priority
environmental and public health concerns of Tribes and other indigenous
peoples and determine ways EPA can address these issues.
4.1 Advise and inform NEJAC and EPA, and coordinate with EPA-supported
Tribal organizations, on Tribal and indigenous environmentaljustice issues
within Indian country and Alaska Native villages.
These objectives are discussed further below, including but not limited to identification of key
activities, IPS leads, and time frames for their accomplishment.
2
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GOAL 1
Assist the NEJAC in providing recommendations and advice to EPA on the development and
implementation of EPA policy, guidance, activities, and protocol, as well as environmental
legislation and regulations, to help achieve environmental justice for Tribes and other indigenous
peoples.
OBJECTIVE 1.1 Identify what actions EPA should take to protect and restore aquatic
ecosystems in order to protect the health and subsistence life ways of tribal
communities and other indigenous peoples consuming or using fish,
plants, and wildlife.
Product/Activity: Develop a NEJAC "Fish Consumption Report," which will contain a set of
cogent recommendations for EPA.
Desired Outcome: EPA will work with environmental justice stakeholders, including but not
limited to tribal governments and other indigenous groups to implement
NEJAC's recommendations on what actions EPA should take to protect and
restore aquatic ecosystems in order to protect the health and subsistence life
ways of tribal communities and other indigenous peoples consuming or using
fish, plants, and wildlife.
IPS Leads: Coleen Poler, Jana Walker, and Moses Squeochs
Key Activities and Target Dates:
Activity
Target Completion Date
1. Participate in the efforts of the Fish Consumption
Work Group in researching, drafting, and preparing a
final draft of the Fish Consumption Report for
submission to NEJAC for its consideration.
March 2002
2. Participate in the efforts of the Ad Hoc Deliberations
Group to determine a consensus approach for
finalizing and adopting the NEJAC Fish Consumption
Report and Recommendations.
September 1, 2002
3. Participate in the review and approval/disapproval of
the final NEJAC Fish Consumption Report and
Recommendations.
October 2002
Critical Success Factors:
Continued support by EPA personnel for EPS activities is maintained.
EPA expectations are realistic and practical regarding the obligations of members of
3
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the Ad Hoc Deliberations Group as well as concerning the consensus process.
IPS members have time available to participate.
Supporting Organizations:
Internal
External
EPA Office of Environmental Justice
EPA American Indian Environmental Office
EPA Office of Water
EPA Tribal Operations Committee
OBJECTIVE 1.2 Identify ways pollution prevention can effectively be used to advance issues
of environmental justice in Indian country and facing Alaska Natives, as
well as other indigenous peoples.
Product/Activity: Develop a NEJAC report on "Advancing Environmental Justice Through
Pollution Prevention," which willcontain a set of cogent recommendations for
EPA.
Desired Outcome: EPA will work with the key environmental justice stakeholders, including but
not limited to tribal governments and other indigenous groups to implement
the NEJAC recommendations on how pollution prevention can be used to
address effectively environmental justice concerns.
IPS Leads: Dean Suagee and Coleen Poler
Key Activities and Target Dates:
Activity
Target Completion Date
1. Obtain tribal pollution prevention document forreviewby
the IPS.
Summer 2002
2. Designate IPS member(s) to serve on the work group to
assist in planning and developing a report for the
December 9-12, 2002 NEJAC meeting to be held in
Baltimore, MD.
Spring 2002
3. Research and prepare issues related to topic in
preparation for meeting, and provide information and
advice related to indigenous peoples.
Summer/Fall 2002
4. Identify and invite appropriate presenters to NEJAC IPS
meeting to gain information to formulate
recommendations for EPA relevant to indigenous peoples
issues.
Fall 2002
5. Participate in completing the Report and
Recommendations of the NEJAC to EPA regarding
pollution prevention.
Winter/Spring 2003
4
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Critical Success Factors:
Continued support by EPA personnel for IPS activities is maintained.
EPA financial resources for a NEJAC meeting are available.
IPS members have time available to maintain communication links and to participate.
Supporting Organizations:
Internal
External
EPA Office of Environmental Justice
EPA American Indian Environmental Office
EPA Office of Pollution Prevention
EPA Tribal Operations Committee
OBJECTIVE 1.3_
Prod u ct/Activity:
Desired Outcome:
IPS Leads:
_Identify how EPA might assist interested Tribes in identifying and
addressing environmental justice issues arising within Indian country and
of concern to Alaska Native villages related to the implementation of
federal environmental laws, regulations, andpolicies; the development and
implementation of federally authorized and/or approved tribal
environmental programs; and the equitable allocation of EPA resources
for tribal programs.
Develop advice and recommendations, along with supporting information, on
how EPA might help interested Tribes identify and address environmental
justice issues arising within Indian country and of concern to Alaska Native
villages related to the implementation of federal environmental laws, the
development and implementation of federally authorized and/or approved
tribal environmental programs, and the equitable allocation of EPA resources
for tribal programs.
EPA will implement NEJAC's recommendations on helping Tribes identify
and address environmental justice issues arising within Indian country and of
concern to Alaska Native villages related to the implementation of federal
environmental laws, the development and implementation of federally
authorized and/or approved tribal environmental programs, and the equitable
allocation of EPA resources for tribal programs.
Dean Suagee
Key Activities and Target Dates:
Activities
Target Completion Dates
5
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1. Research -public participation methods currently
adopted by the tribes administering EPA-approved
water quality standards programs, including collecting
data regarding the types of public participation method
being used, the financial and technical resources
required, advantages and disadvantages, and any
specific reservation circumstances present (i.e.,
economic development, non-Indian fee land, water
shortages).
Summer/Fall 2002
2. Make a presentation and engage in dialogue on this
project during the National Tribal Environmental
Managers Conference held on June 5-7, 2002.
June 2002
3. Consistent with NEJAC's Strategic Plan, determine an
appropriate work product for providing advice on this
matter to EPA. While formal advice developed through
the deliberative process and set forth in comprehensive
reports is the standard method to be used by NEJAC,
letters, commentaries, and resolutions also may be used.
FaU 2002
4. Develop first draft of work product and determine
whether there is a need to distribute the draft to Tribes
and tribal organizations for input/comment.
Winter 2002/Spring 2003
5. Prepare final draft of work product, including the
review of comments received on first draft, if any.
Spring/Summer 2003
6. Submit final work product to NEJAC Executive
Council for review and approval.
Summer/Fall 2003
Critical Success Factors:
Continued support by EPA personnel for IPS activities is maintained.
EPA financial resources for an IPS meeting are available.
IPS members have time available to carry out the project.
Supporting Organizations:
Internal
External
EPA Office of Environmental Justice
EPA American Indian Environmental Office
EPA Tribal Operations Committee
EPA Tribal Caucus
OBJECTIVE 1.4 Provide advice and information concerning how EPA might better address
tribal cultural issues and sacred site protection through the use of the
National Environmental Policy Act (NEPA), the National Historic
Preservation Act (NHPA), and other applicable federal laws.
Product/Activity: Develop advice and recommendations, including supporting information, on
6
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how EPA might better address tribal cultural issues and sacred site protection
through the use of NEPA, the NHPA, and other applicable federal laws.
Desired Outcome: EPA considers and incorporates tribal cultural issues effectively into its
rulemaking and major federal actions.
IPS Leads: Dean Suagee
Key Activities and Target Dates:
Activity
Target Completion Date
1. Develop a discussion paper that frames the key issue(s).1
Fall 2002
2. Consistent with NEJAC's Strategic Plan, determine an
appropriate work product for providing advice on this
matter to EPA. While formal advice developed through
the deliberative process and set forth in comprehensive
reports is the standard method to be used by NEJAC,
letters, commentaries, and resolutions also maybe used.
Fall 2002
3. Compile a listing of literature references on these issues.
Winter 2002
4. Prepare work product and recommendations for
submission to the NEJAC Executive Council requesting
that, among other things, EPA undertake an analysis of
its existing legal authorities to address tribal culture
issues.
Spring/Summer 2003
Critical Success Factors:
Continued support by EPA personnel for IPS activities is maintained.
IPS members have time available to maintain communication links and to participate.
Supporting Organizations:
Internal
External
EPA Office of Environmental Justice
EPA Tribal Operations Committee
EPA American Indian Environmental Office
EPA Tribal Operations Committee
OBJECTIVE 1.5 Identify what actions EPA should take protect the environment and public
health of tribal communities and other indigenous peoples from the
cumulative impacts of pollutants.
'Note: Unresolved issues include lack of any Agency exemption in permitting under NHPA
as opposed to NEPA and the definition of "undertaking."
7
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Product/Activity:
Develop advice and recommendations, including supporting information, on
how EPA can protect the environment and public health of tribal communities
and other indigenous peoples from the cumulative impacts of pollutants.
Desired Outcome:
EPA works with the key environmental justice stakeholders, including but not
limited to tribal governments and other indigenous groups to implement the
NEJAC recommendations on how EPA can address more effectively the
cumulative impacts of pollution in Indian country and facing indigenous
peoples.
IPS Leads:
IPS Chair and Vice Chair
Key Activities and Target Dates:
Activity
Target Completion Date
1. Develop a discussion paper that frames the key issue(s).2
Spring/Summer 2003
2. Consistent with NEJAC's Strategic Plan, determine an
appropriate work product for providing advice on this
matter to EPA. While formal advice developed through
the deliberative process and set forth in comprehensive
reports is the standard method to be used by NEJAC,
letters, commentaries, and resolutions also maybe used.
Winter 2002
3. Compile a listing of literature references on these issues.
Spring/Summer 2003
4. Prepare work product and recommendations for
submission to the NEJAC Executive Council requesting
that, among other things, EPA undertake an analysis of
its existing legal authorities to address cumulative
impacts of pollution.
Winter 2003
Critical Success Factors:
Continued support by EPA personnel for EPS activities is maintained.
IPS members have time available to maintain communication links and to participate.
Supporting Organizations:
Internal
External
2Note: Unresolved issues include lack of any Agency exemption in permitting under NHPA
as opposed to NEPA and the definition of "undertaking."
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EPA Office of Environmental Justice
EPA Tribal Operations Committee
EPA American Indian Environmental Office
EPA Tribal Operations Committee
GOAL 2
Provide opportunities for representatives of Tribes, other indigenous peoples, and national,
regional, and local tribal and indigenous organizations to bring their environmental justice
concerns to NEJAC's attention as it develops policy advice and recommendations for EPA to
address those concerns.
OBJECTIVE 2.1 Promote efforts aimed at ensuring proper outreach to and input from
Tribes, other indigenous peoples, and national, regional, and local tribal
and indigenous organizations about the environmental justice issues
affecting them as well as the goals, objectives, and activities of the IPS.
Product/Activity: Develop appropriate vehicles and identify forums to promote outreach to and
solicitation of input from Tribes and other indigenous peoples about on
environmental justice issues and EPS goals, objectives, and activities.
Desired Outcome:
IPS Leads:
Tribes, tribal organizations, and other indigenous peoples are informed about
the work, mission, and activities of the IPS and NEJAC at large. Tribes will
use the NEJAC as an additional resource to work toward resolution of their
environmental justice issues. Tribes will gain a better understanding and
participate in EPA policy development and rule making processes, leading to
better environmental decision making within Indian country.
IPS Chair, Vice Chair, and Full IPS Membership
Key Activities and Target Dates:
Activity
Target Completion Date
1. Create and maintain a list of national Indian, tribal, and
indigenous organizations, including current contact
persons, addresses, telephone numbers, and e-mail
addresses.
Ongoing
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2. Develop a fact sheet of the IPS mission and its current
strategic plan goals and objectives.
June 2002
3. Develop a transmittal letter for distributing the fact
sheet to national Indian, tribal, and indigenous
organizations, and other interested stakeholders, and
determine the most appropriate venues and means and
times of such distribution.
Fall 2002
4. Provide the annual IPS accomplishment report to
national Indian, tribal, and indigenous organizations
identified on the IPS contact sheet. (The IPS DFO will
be responsible for this; also explore web posting).
Ongoing
5. Provide an IPS presence and forum, in conjunction
with a national tribal meeting, at which the IPS can
receive tribal input, engage in dialogue with tribal
representatives, and present background on the
mission and current activities of NEJAC and the IPS.
Ongoing
6. Provide an opportunity for input on environmental
justice issues of concern to Tribes and other
indigenous peoples during IPS meetings in conjunction
with NEJAC meetings.
December 2002 and Spring 2004
7. Use IPS' contact list of national Indian, tribal, and
indigenous organizations to relay information on the
focused issue being addressed by the NEJAC,
deadlines for commenting, and the date, time, and
location of the NEJAC meetings.
October 2002 and Winter 2003
8. Provide advice regarding how EPA can structure
Regional Environmental Justice Listening Sessions to
ensure that EPA hears and addresses the environmental
justice concerns of Tribes and other indigenous
peoples.
Fall 2002 and Ongoing
Critical Success Factors:
• Continued support by EPA personnel for IPS activities is maintained.
• IPS members have time available to maintain communication links and to participate.
• EPA financial resources for an IPS meeting and outreach are available.
Supporting Organizations:
Internal
External
EPA Office of Environmental Justice
EPA American Indian Environmental Office
EPA Tribal Operations Committee
Tribes
Other Indian, Tribal, and Indigenous
Organizations
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GOAL 3
Provide recommendations and advice to NEJAC and its subcommittees to ensure that
environmental justice issues affecting, involving, or of concern to Tribes are addressed by EPA
in a manner thatfulfills the trust responsibility, respects tribal sovereignty and the government-to-
government relationship, upholds treaties, and promotes tribal self-determination.
OBJECTIVE 3.1 Participate in the orientation of NEJAC and its members, and create and
maintain an updated information handout for NEJAC and its
subcommittees regarding basic principles of federal Indian law and policy,
EPA Indian environmentalpolicy, environmental regulatory role of Tribes
under the federal environmental laws, and generalfacts regarding Indian
country, Tribes, and other indigenous peoples.
Product/Activity: Develop appropriate vehicles and means for orienting and informing NEJAC
and its subcommittees regarding Indian country, Tribes, and other indigenous
peoples and the environmental justice issues affecting them.
Desired Outcome: NEJAC. as a whole, as well as its subcommittees will be better informed and
have a working knowledge of the unique political status and culture of Tribes
sufficient to ensure indigenous and tribal environmental and public health
issues are addressed effectively by EPA.
IPS Leads: IPS Chair and Vice Chair
Key Activities and Target Dates:
Activity
Target Completion Date
1. Develop a fact sheet of the IPS mission and its current
strategic plan goals and objectives for use by NEJAC
subcommittees.
Fall 2002 and Each Spring
Thereafter
2. Participate in the annual orientation of new NEJAC
members and make a presentation regarding the IPS
and its mission, goals, and activities, and ensure that
an accurate and up to date IPS fact sheet is included
in the new member orientation packet.
Spring 2002, 2003, 2004
3. Develop or identify and cause to be provided useful
background materials that can be used as reference by
the NEJAC subcommittees.
Fall 2002
Critical Success Factors:
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Continued support by EPA personnel for IPS activities is maintained.
IPS members have time available to maintain communication links and to participate.
Supporting Organizations:
Internal
External
EPA Office of Environmental Justice
EPA American Indian Environmental Office
OBJECTIVE 3.2 Evaluate and assess need to revise, distribute, and follow-up on the IPS
developed "Guide on Consultation and Collaboration with Indian Tribal
Governments and the Public Participation of Indigenous Groups and
Tribal Members in Environmental Decision Making " (EPA/300-R-00-009)
(November 2000).
Product/Activity: Evaluate the usefulness of the "Guide on Consultation and Collaboration with
Indian Tribal Governments and the Public Participation of Indigenous Groups
and Tribal Members in Environmental Decision Making," and whether there
should be a redraft or update of the Guide.
Desired Outcome: Develop and implement a marketing strategy for the Guide to encourage and
facilitate effective consultation and collaboration between EPA and Tribal
governments and organizations, including determining appropriate audiences,
means of distribution, and ways to establish collaboration and effective
communication with such entities. Develop and implement an evaluation
strategy to determine response, usefulness, and whether and how the IPS
Guide might be updated or revised.
IPS Leads: IPS Chair and Vice Chair
Key Activities and Target Dates:
Activity
Target Completion Date
1. Develop an evaluation form for the Guide.
Spring 2002
2. Develop and implement a strategy to evaluate tribal
government (audience) response and determine the
need to follow up on the Guide.
Fall 2002
3. Collect, compile, and analyze comments.
TBA
4. Market the Guide to EPA, EPA-supported Tribal
organizations, and Tribes, and other appropriate
federal agencies and organizations.
Ongoing
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Critical Success Factors:
Continued support by EPA personnel for IPS activities is maintained.
IPS members have time available to maintain communication links and to participate.
EPA financial resources for seeking comments, distributing the Guide, and updating
the Guide are available.
Supporting Organizations:
Internal
External
EPA Office of Environmental Justice
EPA American Indian Environmental Office
EPA-supported Tribal organizations
Tribal Governments and Organizations
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GOAL 4
Coordinate and collaborate with EPA-supported tribal organizations and NEJAC and its
subcommittees and workgroups to identify priority environmental and public health concerns of
Tribes and other indigenous peoples and determine ways EPA can address these issues.
OBJECTIVE 4.1 Advise and inform NEJA C and EPA, and coordinate with EPA-supported
Tribal organizations on Tribal and indigenous environmentaljustice issues
within Indian country and Alaska Native villages.
Product/Activity: Inform and promote effective coordination on Tribal and indigenous
environmental justice issues among and between NEJAC and its
subcommittees, EPA, and EPA-Supported Tribal Organizations.
Desired Outcome: Through better coordination, NEJAC and its subcommittees will improve
their knowledge of current indigenous and tribal environmental justice issues.
Interaction with EPA-Supported Tribal Organizations will help the IPS and
NEJAC better focus on the key environmental justice issues in Indian country
and fulfill NEJAC's advisory role to EPA.
IPS Leads: IPS Chair, Vice Chair, and Full IPS Membership
Key Activities and Target Dates:
Activity
Target Completion Date
1. Create and maintain a list of EPA-supported tribal
organizations, including contact persons, addresses,
telephone numbers, and e-mail addresses.
Ongoing
2. Draft letter of introduction to EPA-supported Tribal
organizations, and request input identifying the
organizations' concerns related to environmental
justice in Indian country and in Alaska.
FaU 2002
3. Explore having IPS members as contacts to each EPA-
supported Tribal organization, and Contact each EPA-
supported Tribal organization regularly, and consider
having specific IPS members as contacts to each such
organization.
Ongoing
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4. Provide the annual IPS accomplishment report to the
EPA-supported Tribal organizations, other national
tribal organizations, and EPA's National Indian Work
Group. (The IPS DFO will be responsible for this; also
explore web posting).
Ongoing
5. Coordinate with NEJAC work groups regarding
environmental justice concerns of Tribes and other
indigenous peoples.
Ongoing
6. Foliowup on the status of the NEJAC's federal
facilities workgroup and ensure that the environmental
justice concerns of Tribes and Alaska Native villages
arising from federal activities are addressed by that
work group.
Fall 2002
7. Participate and contribute to the NEJAC facilitated
dialogues.
Ongoing
8. Reach a mutual understanding with NEJAC and its
subcommittees as to how effective coordination should
occur.
Ongoing
Critical Success Factors:
• Continued support by EPA personnel for IPS activities is maintained.
• IPS members have time available to maintain communication links and to participate.
Supporting Organizations:
Interna]
External
EPA Office of Environmental Justice
EPA American Indian Environmental Office
NEJAC
EPA-supported Tribal Organizations
KEY FEDERAL AND EPA POLICIES
RELEVANT TO THE IPS STRATEGIC PLAN
Executive Order (No. 13175) on Consultation
Executive Order (No. 13084) on Consultation and Coordination with Indian Tribal
Governments (May 14, 1998).
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Sec. 2. Policymaking Criteria. In formulating policies significantly or uniquely
affecting Indian tribal governments, agencies shall be guided, to the extent permitted
by law, by principles of respect for Indian tribal self-government and sovereignty, for
tribal treaty and other rights, and for responsibilities that arise from the unique legal
relationship between the Federal Government and Indian tribal governments.
Sec. 3. Consultation, (a) Each agency shall have an effective process to permit elected
officials and other representatives of Indian tribal governments to provide meaningful
and timely input in the development of regulatory policies on matters that significantly
or uniquely affect their communities.
EPA Policy on the Administration of Environmental Programs on Indian Reservations
(November 8, 1984).
The Agency will recognize Tribal Governments as the primary parties for setting standards,
making environmental policy decisions and managing programs for reservations, consistent
with agency standards and regulations.
The Agency will take appropriate steps to remove existing legal and procedural impediments
to working directly and effectively with Tribal Governments on reservation programs.
The Agency, in keeping with the federal trust responsibility, will assure that Tribal concerns
and interests are considered whenever EPA's actions and/or decisions may affect reservation
environments.
EPA Strategic Plan, Goal 4: Preventing Pollution and Reducing Risk in Communities,
Homes, Workplaces and Ecosystems; "New Ways of Achieving Our Overall Mission:
Key Cross-Agency Programs" (September 1997).
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NEJAC MISSION STATEMENT
The NEJAC was established September 30, 1993. The Council is chartered in two year
increments. The NEJAC's mission is to provide independent advice and recommendations to EPA
that will help to improve direction and implementation of environmental justice programs and
initiatives as defined in its charter. NEJAC's advice and recommendation shall be directed toward:
Advice on EPA's framework development for integrating socioeconomic programs into
strategic planning, annual planning and management accountability for achieving
environmental justice results agency-wide.
Advice on measuring and evaluating EPA's progress, quality, and adequacy in planning,
developing, and implementing environmental justice strategies, projects, and programs.
Advice on EPA's existing and future information management systems, technologies, and data
collection, and to conduct analyses that support and strengthen environmental justice
programs in administrative and scientific areas.
Advice to help develop, facilitate, and conduct reviews of the direction, criteria, scope, and
adequacy of the EPA's scientific research and demonstration projects relating to
environmental justice.
Advice for improving how the EPA and others participate, cooperate, and communicate
within the Agency and between other Federal agencies, State, or local governments, Federally
recognized Tribes, environmental justice leaders, interest groups, and the public.
Advice regarding EPA's administration of grant programs relating to environmental justice
assistance (not to include the review or recommendations of individual grant proposals or
awards.
Advice regarding EPA's awareness, education, training, and other outreach activities
involving environmental justice.
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IPS HISTORICAL PERSPECTIVE AND ACCOMPLISHMENTS
HISTORICAL PERSPECTIVE
Indigenous peoples—whether Hawaiian or Alaskan natives, Tribes and their members, urban
indigenous peoples, non-federally recognized indigenous communities, or indigenous communities
across international boundaries—all belong to a community of people whose ancestors inhabited this
continent before European colonization. Since time immemorial, indigenous peoples have lived a
spiritual ethic that is founded upon a deeply held respect for the air, the water, the land, the plants,
and the animals; an ethic that recognizes the essential link between the health of communities and the
health of the ecosystems and cultures that sustain those communities.
In December 1995, two years after its creation, the NEJAC recommended that the IPS be
created—to assist the NEJAC in providing advice and recommendations to EPA on environmental
justice issues feeing indigenous peoples. The NEJAC recognized that these unique issues require the
specialized knowledge, experience, and expertise of the IPS, based on the unique political and legal
status of Tribes in the United States, the government-to-government relationship between Tribes and
the United States, including its agencies, and because environmental injustices strike to the core of
the cultural and political integrity of Tribes and other indigenous peoples.
ACCOMPLISHMENTS
Since its inception, the IPS has worked to develop policy recommendations and give advice
that would address overarching environmental justice issues existing within Indian country and facing
Alaska Natives. As needed, the IPS has also worked to advise EPA on how to address site specific
issues of concern raised by Tribal governments and indigenous communities, during the NEJAC
meeting public comment periods. Some of issues and policy concerns for which the IPS has provided
advice to EPA include, but are not limited to:
SITE SPECIFIC RESOLUTIONS
1. Copper Range, MI - Suggested suspending the issuance of an underground injection
control permit until a full EIS is prepared and appropriate consultation with tribe
completed. Outcome - permit request withdrawn.
2. Ward Valley, CA - Identified ways to ensure indigenous issues, through consultation,
are addressed in the proposed low level nuclear waste storage facility. Outcome -
DOI denied request for land to be transferred to the State of California.
3. Mattaponi Tribe, VA - Recommended that the EIS for a proposed water reservoir
addresses the impacts to tribal cultural resources and economy. Outcome - The Army
Corps of Engineers has taken a preliminary position to deny the CWA 404 permit
filling wetlands for the proposed KW reservoir project but a final position is pending.
4. Mount Shasta, CA - Recommended that proper consultation with tribes concerned
about the impacts of the proposed ski resort on the cultural resources of the tribe be
done. Outcome - Proposal withdrawn.
5. Proposed Hog Farm - Recommended that the full environmental and social impacts
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of a proposed hog farm on the Rosebud Sioux Tribe Reservation be identified and
understood before a decision was made.
INTERNATIONAL POLICY RECOMMENDATIONS
6. UN Draft Declaration on Rights of Indigenous Peoples - Recommended that the
United States support the international effort to protect the rights of indigenous
peoples. (Year?)
7. POPs - Recommended that the United States support the international treaty to phase
out, and ultimately eliminate, the use or creation of certain toxic substances which
persist in the environment. (May 2000)
8. Plan Columbia - Supported NEJAC's International Subcommittee in successfully
urging EPA's Office of International Affairs to host a meeting between Columbian
representatives, including members of indigenous communities, who were testifying
before Congress concerning the human health and environmental consequences of the
United States' aerial fumigation program in Columbia (Spring 2002)
DOMESTIC POLICY RECOMMENDA TIONS
9. "Guide on Consultation and Collaboration with Indian Tribal Governments and the
Public Participation of Indigenous Groups and Tribal Members in Environmental
Decision Making" - Created a Guide with recommendations and advice to EPA, other
federal agencies, as well as other interested stakeholder groups, on why and how to
work effectively with tribes. (November 2000)
10. Environmental Permitting Processes - Created a set of recommendations on how EPA
can more implement effectively its permitting programs and assist states and tribes in
protecting the health and environment of tribal communities. (January 2000)
11. Environmental Justice and Community-Based Health - Developed a report with a set
of recommendations on how EPA can work, in coordination with other federal
agencies, to protect more effectively the environmental health of tribal communities.
(August 2000)
12. Integration of Environmental Justice in Federal Agency Programs - Developed a set
of recommendations on the integration of environmental justice by federal agencies'
with respect to Tribes, which was attached as an appendix to NEJAC's report.
(March 2002).
13. Fish Consumption - Developed a special chapter and recommendations addressing the
unique status, concerns, and issues of Tribes and Alaska Native villages for the final
draft of the Fish Consumption report prepared by NEJAC's Fish Consumption
Workgroup. The report focuses on how EPA should improve aquatic ecosystems in
order to protect the health of people consuming or using fish, aquatic plants, and
wildlife. (Spring 2002)
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OUTREACH AND COLLABORATION ACTIVITIES
14. Fish Consumption - Several members ofthelPS attended EPA's Risk Communication
Conference held in Chicago and announced the date of NEJAC's Seattle 2002
focused public meeting to discuss and take comments on how EPA should improve
aquatic ecosystems in order to protect the health of people consuming or using fish,
aquatic plants, and wildlife. (May 2001)
15. Cochiti Pueblo Site Visit - In conjunction with its strategic planning meeting, the IPS
visited the environmental staff at Cochiti Pueblo in New Mexico to discuss their
programs and environmental justice concerns. The IPS' strategic planning meeting
was also attended by the Director of the Office of Environmental Justice as well as
several members of the public, including tribal, EPA, and national tribal environmental
organization representatives. (July 2001)
16. Strategic Plan (2001-2003) - Two members of the IPS, the IPS DFOs, and
representatives of the American Indian Environmental Office held a conference call
to discuss the IPS draft Strategic Plan for 2001-2003. (November 2001)
17. National Tribal Environmental Managers' Conference - EPS conducted a breakout
session during the conference to discuss and engage in dialogue on the activities,
plans, and recommendations of the NEJAC and IPS with respect to environmental
justice in Indian country and of concern to Tribes. IPS also held an IPS meeting to
update its Strategic Plan and to discuss current activities. (June 2002)
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International
Subcommittee
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AGENDA
NEJAC International Subcommittee
Baltimore, Maryland
December 11, 2002
8:30 a.m. Introductions and Welcome
- Tseming Yang, Subcommittee Chair
- Jerry Clifford, Deputy Assistant Administrator, EPA Office of International
Activities (01 A)
- Subcommittee Members
9:00 a.m. Theme Discussion: Corporate Responsibility
Noon LUNCH
1:00 p.m. Discussion with Jerry Clifford on OIA and Subcommittee Work
2:00 p.m. Strategic Plan Updates
- U.S.- Mexico Activities
- Update on Aerial Eradication Efforts in Colombia and Next Steps
- Update on Farmworker Health/Worker Protection Standards and Next Steps
- Update on Persistant Organic Pollutants (POP) and Next Steps
4:00 p.m. Subcommittee Adjourns
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NEJAC INTERNATIONAL SUBCOMMITTEE
List of Members
2002
DESIGNATED FEDERAL OFFICIAL
Wendy Graham
Office of International Activities
U.S. Environmental Protection Agency
401 M Street, SW (261 OR)
Washington, DC 20460
Phone: (202) 564-6602
Fax: (202) 565-2408
E-mail: araham.wendv@epamail.eDa.qQv
CHAIR
Tseming Yang (AC) -1 year *
Associate Professor of Law
Vermont Law School
Chelsea Street, Whitcomb House
South Royalton, VT 05068
Phone: (802) 763-8303, ext. 2344
Fax: (802) 763-2663
E-mail: tvanq@vermontlaw.edu
Other Members
Academia
Carmen G. Gonzalez, (AC) -3 years
Assistant Professor
Seattle University School of Law
900 Broadway
Seattle, WA 98122-4460
Phone: (206) 398-4067
Fax: (206) 398-4077
E-mail: aonzalez@seattleu.edu
Community Group
Larry Charles, Sr. (CG) - 2 years *
Executive Director
O.N.E./C.H.A.N.E., Inc.
2065 Main Street
Hartford, CT 06120
Phone: (860)525-0190
Fax: (860) 522-8266
E-mail: lcharles@snet.net
Dianne Wilkins (CG) - 2 years
Bullock Memorial Association
1313 W. Missouri Avenue
Chickasha, OK 73018
Phone: (405) 224-2096
Fax:
E-mail:
Industry/Business
Philip L. Hillman, (IN) - 2 years
Divisional Vice-President
Health, Safety & Environment
Polaroid Corporation
1265 Main Street, Building W3-3B
Waltham, MA 02451
Phone: (781) 386-0555
Fax: (781) 833-0555
E-mail: Hillman@polaroid.com
Non-Government/Environmental Group
Cesar Luna, Esq (NG) - 2 years
Director
Border Environmental Justice Campaign
110 West C Street, Suite 812
San Diego, CA 92101
Phone: (619)702-6330
Fax: (619)702-3464
E-mail: cesar@bournazian-luna.com
Tribal/Indigenous
Jose Matus (T/l) - 2 years
Indigenous Alliance Without Borders
P.O. Box 1286
Tucson, AZ 85702
Phone: (520)770-1373
Fax: (520) 770-7455
E-mail: JRMatus@aol.com
* = NEJAC Executive Council member
AC = Academia EV = Environmental Group CG = Community Group IN = Industry/Business
NG = Non-governmental Organization SL = State/Local Government T/l = Tribal/Indigenous
Terms of Expiration
(1) = 12/31/2002 (2) = 12/31/2003 (3) = 12/31/2004
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NEJAC INTERNATIONAL SUBCOMMITTEE
ENVIRONMENTAL JUSTICE PROGRAM
Pollution Prevention Policy Issues
NEJAC December 2002
The environment is under greater threat than ever. Exploding population growth around the world
and emerging industrial economies exert increasing pressure on scarce land, dwindling water
supplies, fossil fuel reserves and other resources. Increasing polluted air promotes the
greenhouse effect and threatens the ozone layer, long-term weather patterns and human health.
Since corporations have contributed to the issues listed above should we expect them to help
provide relief and solutions to these escalating public health problems? Society in general would
say yes.
In today's global economy, US corporations are doing more and more business abroad. In many
cases the profit-driven interest of corporations often outweigh the health and well -being of
individuals. Companies are rarely, if ever, held accountable for polluting the environment or for
their misuse of natural resources. The negative consequences of conducting business at the
expense of the environment and local communities in countries with pronounced problems
makes it incumbent on US corporations to observe the same standards that they adhere to at
home.
Pressures for greater corporate responsibility are intensifying as companies globalize and
environmental, social and financial challenges escalate around the world. Many companies have
initiated a range of actions to respond to these pressures. Despite many good examples of how
industries are reducing waste and emissions, becoming more energy efficient and helping poor
communities to meet their basic needs, we still have companies that are doing business as
usual.
The goal of the International Subcommittee is to develop best practices and identify strategies
that can be used by government and NGO's to challenge and influence US multinational
corporate behavior. We want to develop methods that would encourage companies to take the
"high road" and become better global citizens.
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National Environmental Justice Advisory Council
INTERNATIONAL SUBCOMMITTEE
DRAFT STRATEGIC PLAN (SEPTEMBER 2002-2004)
September 30,2002
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Disclaimer
This document has been reviewed and accepted by EPA as a part of the activities of the National
Environmental Justice Advisory Council, a public advisory committee providing external policy
information and advice to the Administrator and other officials of the United States Environmental
Protection Agency (EPA). The Council is structured to provide balanced, expert assessment of
issues related to environmental justice.
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£0 *d "IU101
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
MOV -7 2002
OFFICE OF
INTERNATIONAL AFFAIRS
MEMORANDUM
TO:
Barry E. Hill, Director, Office of Environmental Justice
Office of Enforcement and Compliance Assurance
FROM:
iministrator
SUBJECT: OIA Approval of the International Subcommittee Strategic Plan
The Office of International Affairs (OIA) endorses the Strategic Plan developed by the
International Subcommittee of the National Environmental Justice Advisory Council (NEJAC). The
Subcommittee has developed this two-year work plan through September 2004. The Plan considers
priority areas for OIA and areas of need and concern to the environmental justice community
worldwide.
In recent years, collaborations between EJ community representatives in other countries and
EJ representatives in the United States have highlighted the global synonymies of environmental
justice implications. The fair treatment of people and their right to meaningful involvement in the
environmental decision making process of governments is a real issue in many countries. The
challenge to the Office of International Affairs is to respect the traditions and laws in the countries
where we work, while encouraging environmental justice for all human kind. Since EPA counterparts
are foreign government officials, many times the needs, experiences, preferences and views of civil
society are not known to us, The International Subcommittee has been and will continue to be a
valuable tool in representing that population.
The work described in the International Subcommittee's Strategic Plan will result in valuable
advice to the Environmental Protection Agency. We also appreciate the flexibility the Strategic Plan
offers. As OLA's work evolves and new issues arise, we will welcome the Subcommittee's advice on
the environmental justice implications of those issues.
OIA is grateful to the esteemed members who volunteer their time and efforts to serve on the
Subcommittee. The development of such an ambitious plan is a testament to their dedication and
commitment to help EPA, and we look forward to continuing this most useful partnership.
Should questions arise, please contact Wendy Graham, the Designated Federal Officer of the
International Subcommittee, here in my office, at (202) 564-6602.
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COMPOSITION OF THE SUBCOMMITTEE
Members of the International Subcommittee are selected from the following
groups that have knowledge of international environmental justice issues: Academia,
Community Groups, Environmental, Industry, State and Local Government, Tribal, and
Nongovernmental Organizations.
The Subcommittee also works closely with the Designated Federal Official who is
knowledgeable about federal environmental programs available to indigenous peoples.
The following is the current 2002 Subcommittee membership:
CHAIR
Tseming Yang (AC)* (1)
Associate Professor of Law
Vermont Law School
South Royalton, VT 05068
Cesar Luna, Esq. (EV) (2)
Director
Border Environmental Justice Campaign
San Diego, CA 92101
Philip L. Hillman (IN) (2)
Divisional Vice-President
Health, Safety, and Environment
Polaroid Corporation
Dorchester, MA 02123
Dianne Wilkins (SL) (2)
Bullock Memorial Association
Chickasha, OK 73018
Carmen G. Gonzalez (AC) (3)
Assistant Professor
Seattle University School of Law
Seattle, WA 98122-4460
Larry Charles, Sr. (CG)* (2)
Executive Director
O.N.E./C.H.A.N.E., Inc.
Hartford, CT 06120
Jose Matus (TR) (2)
Indigenous Alliance Without Borders
Tucson, AZ 85702
DESIGNATED FEDERAL OFFICER
Wendy Graham
Office of International Affairs
U.S. Environmental Protection Agency
Washington, DC 20460
AC = Academia CG = Community Group
EV = Environmental Group IN = Industry
SL = State/Local Government TR = Tribal
NG = Nongovernmental Organization
* Denotes Executive Council Member
IV
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National Environmental Justice Advisory Council
INTERNATIONAL SUBCOMMITTEE
STRATEGIC PLAN (SEPTEMBER 2002-2004)
TABLE OF CONTENTS
Letter from Sponsoring Program Office iii
Composition of the Subcommittee iv
Introduction 1
Goals and Objectives 2
NEJAC Mission Statement 11
Historical Perspective and Accomplishments 12
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National Environmental Justice Advisory Council
INTERNATIONAL SUBCOMMITTEE
STRATEGIC PLAN (SEPTEMBER 2002-2004)
INTRODUCTION
The National Environmental Justice Advisory Council's (NEJAC) mission is to provide
independent advice and recommendations to Environmental Protection Agency (EPA) that will
help to improve the direction and implementation of environmental justice programs and
initiatives. As one of six subcommittees to the NEJAC, the International Subcommittee has
created a two-year strategic plan to guide its work in 2002-2004 in providing advice on how to
most effectively address environmental justice issues internationally.
The purpose of the International Subcommittee is to work closely with the Office of
International Affairs of EPA and to make recommendations on how EPA can and should
implement the principles of environmental justice in policies, programs, or activities that have
cross-border, foreign or global impacts. The Subcommittee's goals include promoting public
participation, polluter responsibility, transparency, non-discrimination, equity, and fairness in
international issues affecting human health and the environment.
Environmental justice concerns transcend national borders just as environmental
problems more generally. The problems at the U.S.-Mexico border and the cross-border causes
and effects of environmental justice provide some of the most obvious examples. In fact the
issues in the border region provided the initial impetus for the creation of the International
Subcommittee and, thus, remains an important focus of its work. However, increased
international trade and interdependence of economic systems as well as rapid economic
development all over the world have tied together more closely the environmental fortunes and
human welfare of distant nations and raised environmental justice issues in far-away places.
Like in the United States, problems of "pollution havens" (jurisdictions with low
environmental standards or low levels of regulatory enforcement), environmental discrimination
and exploitation of the poor, minorities and other marginalized groups, and exclusion of such
groups from the environmental decisions that affect them now exist globally. Unfortunately,
solutions to such problems also remain elusive. The polluting industries that are attracted to such
places because of low environmental standards, weak enforcement, and cheap labor costs,
oftentimes exhibit little concern for the local environmental and human welfare problems that
they cause.
Moreover, in many countries, citizens have little or no voice in environmental decision-
making. In such countries, the governments are oftentimes highly centralized or are not based on
democratic principles. Such governments are oftentimes also economically dependent on such
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industries, pervaded with corruption, or otherwise beholden to foreign interests. As a result,
citizens are unable to obtain relief through traditional governmental channels.
Finally, international institutions that have been created to address international
environmental problems, such as the United Nations Environment Programme (UNEP) and the
treaties that it administers, have been notoriously inaccessible, unaccountable, and unresponsive
to individual citizens. This has left many, and especially the world's marginalized groups -
racial and ethnic minorities and the lower socio-economic classes - with little or no redress for
environmental harm.
The International Subcommittee is engaged in the examination of these and other
international environmental justice problems. It considers how EPA policies, programs, and
activities affect and are affected by them and advises EPA on measures it can and should take to
begin to solve them.
SUBCOMMITTEE GOALS AND OBJECTIVES
The International Subcommittee has identified the following goals and specific objectives
to pursue over the next two years:
Goal 1:
Study and advise EPA's activities on environmental justice issues in the U.S.-Mexico
border region.
Objective 1.1:
Advise EPA on the ongoing challenges of environmental justice degradation at the
southern border of the U.S.
Product/Activity
Consult with environmental justice organizations on the U.S.-Mexico border to stay
apprised of possible issues to be brought to EPA's attention.
Desired Outcome
Ongoing consultations and advice by the International Subcommittee and environmental
justice organizations to EPA on border issues.
Subcommittee Leads
Cesar Luna, Tseming Yang, Jose Matus, Carmen Gonzalez
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Key Activities and Time Line
Key Activity/Area of Concentration
Estimated Date for
Completion
Projected Outcome
Consult border citizens, including
indigenous peoples and NGOs, about
the current situation at the border.
Ongoing
Report on current
situation, possibly
prepared as an
appendix to Border
Roundtable Report
Advise EPA of the concerns at the
borders, as well as any positive
developments in the regions.
Ongoing
Ongoing advice by the
International
Subcommittee and
environmental justice
organizations to EPA.
Critical Success Factors
• EPA continues to support the activities of the International Subcommittee.
• EPA financial resources for an International Subcommittee meeting are available.
• Active engagement of EPA staff (both headquarters and Regions 6 & 9) with border
communities.
• Active engagement of Subcommittee members in this effort.
• Support by community organizations.
• Inclusion of and active participation by representatives of border community
organizations in the membership of the International subcommittee.
Supporting Organizations
Internal External
EPA Office of International Affairs Community organizations at the U.S.-
Mexico border
EPA Office of Environmental Justice Indigenous groups from the borders
Objective 1.2:
Complete the U.S.-Mexico Border Roundtable Report on Environmental Justice.
Product/Activity
Finish research and editing of the U.S.-Mexico Border Roundtable Report, submit to
Roundtable participants and NEJAC for comments, revise Report, and then submit final
report to EPA.
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Desired Outcome
To produce an effective resource for EPA, NEJAC, and border citizens and groups that
clearly outlines the problems at the border and facilitates understanding between EPA
and border peoples.
Subcommittee Lead
Tseming Yang, Cesar Luna
Key Activities and Time Line
Key Activity/Area of Concentration
Estimated Date for
Completion
Finalize report of the U.S.-Mexico Border Roundtable.
Fall 2002
Research and advise EPA of the need for a more
responsive process for citizens under NAFTA and the
CEC.
Fall 2002
NEJAC completes Final Draft and submits to EPA
Fall 2002
Critical Success Factors
• EPA personnel continue to support International Subcommittee activities.
• EPA financial resources for a Subcommittee meeting are available.
• EPA financial resources for dissemination of draft Report and final report to border
communities and public.
Supporting Organizations
Internal External
EPA Office of International Affairs Indigenous groups from the borders
EPA Office of Environmental Justice Community organizations on U.S.-
Mexico border
Goal 2;
Provide recommendations and advice to EPA on the environmental justice
implications of the dangers posed to the health of indigenous and local communities
and to the ecosystem in Colombia by the aerial application of herbicides for drug
eradication purposes, under the congressionally-funded State Department aid
program known as Plan Colombia.
Objective 1.1:
Identify ways to increase the involvement of the Office of International Affairs (OLA) in
ensuring that EPA's congressionally mandated consultation process is conducted in
transparency and that opportunities for public input and public access of information are
encouraged and make recommendations to OIA.
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Product/Activity
Advise OIA on EPA's obligation under Public Law 107-115, in particular regarding the
requirement that it certify that "(1) aerial coca fumigation is being carried out in
accordance with regulatory controls required by the Environmental Protection Agency as
labeled for use in the United States, and after consultation with the Colombian
Government to ensure that the fumigation is in accordance with Colombian laws; (2) the
chemicals used in the aerial fumigation of coca, in the manner in which they are being
applied, do not pose unreasonable risks or adverse effects to humans or the environment;
and (3) procedures are available to evaluate claims of local citizens that their health was
harmed or their licit agricultural crops were damaged by such aerial coca fumigation, and
to provide fair compensation for meritorious claims."
Continue to apprise OIA of ongoing environmental justice concerns, human health
implications, and impacts on the ecosystem of the aerial spraying.
Continue to monitor the environmental justice implications of the aerial fumigation
program and advise EPA on ways to maintain an ongoing relationship with the affected
communities and those working on their behalf in order to ensure that the aerial
eradication program continues to comply with the requirements of Public Law 107-115.
Work with NGOs to gather information on the environmental justice implications of the
aerial eradication. Help indigenous organizations and those working on their behalf to
identify and address environmental justice issues related to the aerial drug eradication
program.
Desired Outcome
EPA to comply fully with Public Law 107-115, satisfying all the EPA responsibilities,
including the ongoing review of fumigation activities for compliance with EPA
regulatory controls, contained in the law.
Subcommittee Leads
Carmen Gonzalez, Tseming Yang, and Jose Matus
Key Activities and Time Line
Key Activity/Area of Concentration
Estimated Date for
Completion
Projected Outcome
Subcommittee members to work with
stakeholders and their representative
groups to gather information and to
apprise EPA risks and issues posed by
aerial applications of chemical
herbicides to the health of indigenous
peoples and ecosystems in Colombia.
Ongoing as needed
Written summary of
information and
evidence obtained, to
be referred to OIA,
either as a part of
report or alone.
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Participate in meetings with NGOs who
are working on this issue and have
access to victims and their testimonies.
Ongoing as needed
Transcripts and/or
summary of meetings
to OIA.
Provide information and advice related
to:
a. Stakeholder input on spraying
b. Need for transparent and
inclusive process
c. Ideas on how to open the
process
Ongoing as needed
Present ideas and
information to OIA as
part of report.
Examine feasibility of
opening process.
Complete report and recommendations
Letter
recommendations to
OIA are ongoing, as
needed
Total EPA compliance
with PL 107-115
Critical Success Factors
• Continued support by EPA personnel for transparency, cooperation, and knowledge.
• Subcommittee members have available time to maintain communication links ad to
participate in meetings.
Supporting Organizations
Internal
EPA Office of International Affairs
EPA Office of Environmental Justice
EPA Office of Pollution Prevention and
Toxic Substances
Goal 3:
Provide recommendations and advice on strategies to influence multinational
corporations (MNCs) to operate their international facilities consistent with the
manner in which they operate their U.S. facilities.
Objective 3.1:
Develop a strategy, using the December 2002 NEJAC Pollution Prevention meeting, to
encourage U.S. MNCs to operate their facilities abroad in a manner consistent with the
way they operate their U.S. facilities.
External
Amazon Alliance
Earthjustice Legal Defense
Fund
Department of State
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Product/Activity
Determine scope of Subcommittee activities with regard to developing recommendations
on this issue, considering the need to 1) identify the issues and reasons for MNCs
operating facilities in a manner different or less protective of the environment, workers,
or surrounding communities; 2) research the available strategies that promote
international corporate responsibility and good behavior and advise EPA on these
strategies; 3) examine the published statements of U.S. companies regarding their own
good stewardship practices and contrast these with allegations of wrongdoing and
violations of their own promises; 4) identify potential case studies of MNCs that engage
in responsible practices and ones that do not.
Determine whether product should be recommendations addressed to MNCs directly or
advice to EPA on possible strategies to change MNC operational behaviors abroad and
attendant ramifications.
Desired Outcome
MNCs to adopt recommendations and good practices approaches abroad or EPA to use
the recommended strategy to encourage MNCs to synonymously operate their facilities
worldwide, using their operating standards in the U.S. as their point of reference.
Subcommittee Leads
Philip Hillman, Tseming Yang, Carmen Gonzalez
Key Activities and Time Line
Key Activity/Area of Concentration
Estimated Date for
Completion
Projected Outcome
Determine scope of Subcommittee
involvement in this issue and
appropriate end product
Summer 2002
Organize a panel discussion for the
International Subcommittee meeting.
October 2002
Prepare draft strategy for review by
Subcommittee members.
November 30, 2002
Seek comments on the
draft.
Panel discussion at NEJAC meeting in
Baltimore, Maryland.
December 11,2002
Review comments, redraft guide based
on panel discussion and new
information, and seek final review from
those who commented.
March 2003
Begin revisions.
Complete Interim-Final Draft and
submit to NEJAC Executive Council
for review and approval.
May 2003
NEJAC begins final
draft.
NEJAC completes Final Draft and
July 2003
EPA to use strategy
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submits to EPA.
guide or dissemination
of recommendations to
MNCs.
Critical Success Factors
• Continued support by EPA personnel for International Subcommittee activities is
maintained.
• EPA financial resources for a meeting with the Subcommittee are available.
• There is an interest among Subcommittee members for the panel discussion.
Supporting Organizations
Internal External
EPA Office of International Affairs Industry Representatives
EPA Office of Environmental Justice NEJAC Members
NGOs dealing with MNC issues
Goal 4:
Provide advice and recommendations on the EPA Persistent Organic Pollutants
(POPs) Implementation Strategy.
Objective 3.1:
Together with the Indigenous Peoples Subcommittee, advise EPA on the environmental
justice concerns in the POP Implementation Strategy and provide a framework for
incorporating these concerns into the Implementation Strategy.
Product/Activity
OIA requests that the International Subcommittee and NEJAC provide input to the U.S.
National Implementation Plan and the OIA international strategy to provide capacity
building on POPs, once Congress has ratified the convention.
While the full NEJAC will be consulted, this will be a collaborative effort between the
International and Indigenous Peoples Subcommittees.
Subcommittee Leads
International: Jose Matus, Dianne Wilkins, Carmen Gonzalez, Tseming Yang
Indigenous Peoples:
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Key Activities and Time Line
Key Activity/Area of Concentration
Estimated Date for
Completion
Projected Outcome
Critical Success Factors
• Continued support by EPA personnel for International Subcommittee activities.
• Members of both International and Indigenous Peoples Subcommittees have available
time to maintain communication and coordinate activities.
Supporting Organizations
Internal External
EPA Office of Environmental Justice
Goal 5:
Advise EPA of the continued need to ensure the overall quality of life and safety of
farmworkers and their children.
Objective 5.1:
Continue to advise EPA on the environmental justice implications of the dangers posed
by pesticides and the lack of enforcement in pesticide misuse and in worker protection
standards.
Product/Activity
Develop a strategy to encourage consistent behavior.
Desired Outcome
EPA use recommended strategy to encourage uniform enforcement in the areas of
farmworker safety and pesticides.
Subcommittee Leads
Tseming Yang, Carmen Gonzalez
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Key Activities and Time Line
Key Activity/Area of Concentration
Estimated Date for
Completion
Projected Outcome
Continue to work with EPA regarding
needs to improve the use of pesticides
and avoid ill effects from exposure.
Continued
communication with
EPA
Reinforce the need for consistent
worker protection inspections,
monitoring, and implementation of
enforcement standards.
Continued
communication with
EPA
Advise of the need to improve the
education and training of farmworkers
and their children in the availability of
existing services, laws, preventative
measures, and protections.
Continued
communication with
EPA
Critical Success Factors
• EPA personnel continue to support International Subcommittee activities.
• EPA financial resources for a Subcommittee meeting are available.
Supporting Organizations
Internal External
EPA Office of International Affairs Industry Representatives
EPA Office of Environmental Justice
Goal 6:
Consider Further Work of the International Subcommittee, in consultation with
OIA.
Objective 6.1:
Engage in deliberative process, together with OIA about other international
environmental justice issues and what issues the International Subcommittee should
address.
Product/Activity
Consider a how the International Subcommittee should spend its time with regard to
considering issues such as:
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accountability of the Commission for Environmental Cooperation to communities and
the efficacy of the article 14/15 citizen submission process under the North American
Agreement on Environmental Cooperation for vindicating community complaints,
accountability of U.S.-Mexico border institutions, such as the Border Environment
Cooperation Commission, the North American Development Bank, and the
International Boundaries and Waters Commission, to border communities,
accountability of international environmental institutions, such as the United Nations
Environment Programme and other treaty institutions, to local communities that are
affected by their work.
- accountability of foreign policy oriented federal agencies and entities, such as the
State Department, the United States Trade Representative Office, the Export-Import
Bank, and the Overseas Private Investment Corporation, to local communities in the
U.S. as well as abroad that are affected by their work.
Desired Outcome
EPA use recommended strategy to encourage uniform enforcement in the areas of
farmworker safety and pesticides.
Subcommittee Leads
Tseming Yang, Carmen Gonzalez
Key Activities and Time Line
Key Activity/Area of Concentration
Estimated Date for
Completion
Projected Outcome
Discussions among Subcommittee
members and EPA staff about
Subcommittee priorities
Ongoing
Continued
communication with
EPA
Critical Success Factors
• EPA personnel continue to support International Subcommittee activities.
• EPA financial resources for a Subcommittee meeting are available.
Supporting Organizations
Internal External
EPA Office of International Affairs
EPA Office of Environmental Justice
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NEJAC MISSION STATEMENT
The NEJAC was established September 30, 1993. The Council is chartered in two-year
increments. The NEJAC's mission is to provide independent advice and recommendations to
EPA that will help to improve the direction and implementation of environmental justice
programs and initiatives as defined in this chapter. The NEJAC's advice and recommendations
shall be directed toward:
• Advice on EPA's framework development for integrating socioeconomic programs into
strategic planning, annual planning, and management accountability for achieving
environmental justice results agency-wide.
• Advice on measuring and evaluating EPA's progress, quality, and adequacy in planning,
developing, and implementing environmental justice strategies, projects, and programs.
• Advice on EPA's existing and future information management systems, technologies, and
data collection and conducting analyses that support and strengthen environmental justice
programs in administrative and scientific areas.
• Advice for improving how the EPA and others participate, cooperate, and communicate
within the agency; with other branches of government (including other federal agencies
and state, local, and tribal governments); and with environmental justice leaders, interest
groups, and the public.
• Advice regarding EPA's administration of grant programs relating to environmental
justice assistance. (Not to include the review or recommendations of individual grant
proposals or awards.)
• Advice regarding EPA's awareness, education, training, and other outreach activities
involving environmental justice.
The International Subcommittee's mission is for members of the Subcommittee to draw upon
their collective experiences, knowledge, and expertise to facilitate the NEJAC's formulation of
recommendations and advice provided to EPA on environmental justice policy and direction as it
affects international environmental justice. To achieve its mission, the International
Subcommittee will, at a minimum, perform the following functions:
• Promote cooperative and supportive relationships aimed at ensuring environmental
justice in international activities.
• Increase awareness of issues related to international environmental justice.
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HISTORICAL PERSPECTIVE AND ACCOMPLISHMENTS
Historical Perspective:
As early as 1993, the National Environmental Justice Advisory Council (NEJAC) had
concerns related to environmental justice at the international level. Such concerns included the
Basel Convention on the Transboundary Shipment of Hazardous Waste, the sale in other
countries of pesticides banned in the United States, and issues affecting the joint border of the
United States and Mexico. At the 1995 NEJAC meeting the Executive Council approved the
establishment of two new subcommittees, the International Subcommittee and the Indigenous
Peoples Subcommittee. The Environmental Protection Agency's Office of International
Activities agreed to support and sponsor the International Subcommittee.
Since its inception, the International Subcommittee has worked to advise EPA on
environmental justice impacts around the world and has made recommendations on how to
improve the quality of life every person so deserves. In much of its work, the Subcommittee has
focused on environmental justice issues in the northern hemisphere. What has become apparent
with every project the Subcommittee undertakes is how small the world really is and how the
same or similar environmental justice issues appear all over the globe.
Accomplishments
The International Subcommittee has provided advice, commentary and recommendations
to EPA on several issues and policy concerns.
• In an effort to help relay the needs and concerns communities on the U.S.-Mexico border,
the Subcommittee, through the NEJAC, addressed the U.S.-Mexico Border issues and
made an extensive report to EPA concerning its draft document on a framework for the
U.S. Mexico Border XXI Program.
• Established a South Africa Work Group to study environmental justice issues in South
Africa from the perspectives and needs of community populations not always available to
government representatives. In addition to extensive research and interviews,
International Subcommittee members, Dr. Mildred McClain and Ms. Beth Hailstock,
embarked on a personally financed fact finding trip to South Africa filled with meetings,
community tours and visits, dialogue with the South African Environmental Justice
Network Forum, dialogue with the official Gore-Mbeki Binational Commissions'
Environmental Management and Pollution Working Group and completed a two day
Pollutant Release and Transfer Register training. The South Africa Work Group
subsequently prepared, and NEJAC approved, a report to EPA which summarized the
overall research and relayed community recommendations.
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• The International Subcommittee hosted the International Roundtable on Environmental
Justice on the U.S. Mexico Border, August 1999, in National City, California. The
Roundtable raised a diverse set of concerns ranging from pollution, toxics and public
health matters to labor justice, immigration, indigenous people, and language issues.
The Roundtable was a significant accomplishment for border communities, and was one
of the first few official occasions at which border communities were able to speak for
themselves about the environmental justice issues facing them. Both U.S. government
and Mexico government officials participated in the Roundtable. The Roundtable
concluded with over 100 recommendations to improve the quality of life on the U.S.-
Mexico Border, and a commitment from EPA to make every effort to implement the
recommendations.In 2000 NEJAC studied the issue of Public Health, and the
International Subcommittee focused on a long-standing issue of interest, Farmworker
Health. This issue was introduced to the Subcommittee by the first Chairman, Baldemar
Velasquez and continued by Fernando Cuevas, both of the Farm Labor Organizing
Committee. The International Subcommittee devoted its May 2000 NEJAC meeting to
this issue. This discussion, led by Mr. Cuevas, allowed migrant farmworkers and other
environmental justice advocates to present their experiences with health threats from
pesticides, work discrimination, and other hardships they, their families, and their
communities experience.
• After much research on pesticides, POPs, organic alternatives to pesticides, worker
standards, testimonies, and a report to Congress by the General Accounting Office, the
International Subcommittee prepared a letter of recommendations to the Office of
International Affairs on Farmworker Health issues. EPA implemented the
recommendation of the South Africa Work Group (SAWG) to "link environmental
groups in the United States with South Africa groups who are addressing similar issues."
In May 2000, EPA hosted delegates representing the South Africa environmental
community for an intensive program in the southeastern United States. The delegates
spent ten days visiting communities that face environmental justice challenges similar to
those in South Africa. There was a one day "Lessons Learned" session the U.S.
experience and a discussion of future issues to be achieved. After the session on the
history of NEJAC, the International Subcommittee hosted the delegates through the entire
NEJAC meeting where they observed the process and met experts and activists from
around the country.
• When the Environmental Justice Executive Order (EO) 12898 was drafted, both the
Department of State and the United States Trade Representative expressed concerns
about the broad scope of work required under the EO and asked not to be included. The
International Subcommittee, through the NEJAC, appealed to EPA to support an
amendment to the EO to have those agencies included. In response, both the DOS and
USTR agreed to be active participants in addressing environmental justice issues raised
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by the Subcommittee and representatives from both agencies attended the International
Subcommittee NEJAC meeting in December 2000 for a discussion on the U.S. trade
policy process and future cooperation with the environmental justice community.
• In preparations for the United Nations World Conference on Racism, Discrimination,
Xenophobia and Related Intolerance, held September 2001, in South Africa, the
International Subcommittee felt compelled to advise the U.S. Government of the
importance of embracing environmental justice in its positions to the World Conference.
White House Task Force officials accepted the Subcommittee's invitation and attended
the December 2000 NEJAC Subcommittee meeting for a discussion on the inclusion of
environmental justice, and agreed that the United States should foster environmental
democracy by promoting the meaningful involvement of all people with respect to the
development of environmental laws, regulations and policies.
• In another effort to link U.S. EJ groups with EJ groups abroad, the International
Subcommittee hosted a delegation from Thailand to the November 2001 NEJAC meeting
on Fish Consumption. The delegation participated in the entire NEJAC meeting, and
engaged in a discussion with the Subcommittee about how economically disadvantaged
and minority groups are affected by pollution in Thailand, and how these groups are
engaged in the development and implementation of environmental policies and
programs. The delegation studied the operations of the NEJAC for ideas as to how
environmental justice stakeholders might organize and become more affective.
• In 2001, then Vice Chair, Tseming Yang, represented the International Subcommittee and
participated as an expert panelist in roundtables hosted by EPA on future international
environmental challenges and their impacts on the United States. Addressed were
challenges of international cooperation relating to transboundary pollution, climate
change, marine degradation, globalization, trade, international finance, economic
development and social cohesion. The findings and recommendations in the final report
will help formulate a plan for EPA's international environmental work over the next
decade.
• Since December 2000, the International Subcommittee has studied the D.O.S. financed
aerial fumigation of the coca crop in Colombia, known as Plan Colombia. For a year,
through the NEJAC, the Subcommittee appealed to EPA to assess the significant health
and environmental impacts such as damage to humans, livestock, water supplies,
subsistence crop and surrounding wilderness areas, all of which appeared to be adversely
affected by the aerial herbicide spraying. In January 2002, Congress mandated the
Department of State to consult EPA before procuring chemicals for the program, and that
the program be monitored for environmental justice impacts. The Subcommittee worked
closely with pertinent NGOs and through the Office of International Affairs and appealed
for a thorough and transparent assessment. EPA completed the assessment and delivered
it to the Department of State. In addition to making the Department of State's Report to
Congress public, State also organized a public comment meeting and invited interested
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NGOs and others to voice their concerns about the spray program and the report. The
Subcommittee plans to continue to work with NEJAC and the NGOs to bring attention to
the environmental justice issues in Colombia.
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Puerto Rico
Subcommittee
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NEJAC PUERTO RICO SUBCOMMITTEE
List of Members
2002
DESIGNATED FEDERAL OFFICIAL
Teresita Rodriguez
Caribbean Environmental Protection
Division
U. S. Environmental Protection Agency
Centro Europa Building, Suite 417
1492 Ponce DeLeon Avenue, Stop 22
Santurce, PR 00907-4127
Phone: (787) 729-6951, ext. 266
Fax: (787) 729-6927
E-mail: Rodriauez.Teresita@epa.gov
Other
CHAIR
Graciela Ramirez-Toro, Ph.D - (2) (AC) *
Interamerican University of Puerto Rico
CECIA - UIPR
Call Box 5100
San German Campus
San German Puerto Rico 00683
Phone: (787) 264-1912, ext. 7630
Fax: (787) 892-2089
E-mail: cecia@prtc.net
Academia
Carlos M. Padi'n, PhD - (2)(AC)
Metropolitan University
PO Box 21150
San Juan, PR 00928-1150
Phone: (787) 766-1717, ext. 6410
Fax: (787) 751-5540
E-mail: cpadin@suaqm.edu
Community Group
Efren Perez - (1 )(CG)
Comite Caborrojenos Pro Salud y Ambiente
PO Box 1789
Cabo Rojo PR 00623-1789
Phone: (787) 851 -4360 or 9481, 254-0015
Fax:
E-mail:
Jose Cruz Rivera - (2) (CG)
Committee Opposed to the Establishment
of the Anasco Regional Landfill
P.O. Box 469
Anasco, PR 00610-0469
Phone: (787)249-7150
Fax:
E-mail:
Pedro M. Torres, MD - (2)(CG)
Comite de Desarrollo de Maunabo
Calle Cesar Ortiz #9
Maunabo, PR 00707
Phone: (787)861-0387
Fax: (787)861-1789
E-mail: pmtm@caribe.com
Industry/Business
Rafael Robert, Esq. - (1) (IN)
Regional Director, Public Affairs Government
Relations
Merck Sharp & Dohme
Plaza Scotia Bank - Suite 502
273 Ponce De Leon Avenue
San Juan, Puerto Rico 00917-1902
Phone: (787) 756-7544
Fax: (787) 758-3943
E-mail: rafael robert@merck.com
Michael Szendry, Ph.D - (2)(IN)
Bacardi Corporation
P.O. Box 363549
San Juan, Puerto Rico 00936-3549
Phone: (787)788-1500
Fax: (787) 788-0340
E-mail: mszendrv@bacardi.com
Non-Governmental/Environmental Group
Juan C. Gomez-Escarce, Esq. - (2) (NG)
Puerto Rico Chamber of Commerce
Fiddler, Gonzalez & Rodriguez
P.O. Box 363507
San Juan, Puerto Rico 00936-3507
Phone: (787)753-3113
Fax: (787)759-3108
E-mail: jgomez@fgrlaw.com
Brunilda Zayas Rodriguez - (2) (NG)
United Environmental Coalition of PR
PO Box 1104
Rincon, PR 00677
Phone: (787) 823-4084
Fax: (787) 823-4084
E-mail:
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State/Local
Iris C. Cuadrado Gomez - (2)(SL)
Director, Plamnning Department
Humacao Municipal Government
PO Box 178
Humacao, PR 00972
Phone: (787) 852-3066, ext. 2215
Fax: (787) 285-2306
E-mail:
Eugene P. Scott, Esq. - (3)(SL)
PR Environmental Quality Board
P.O. Box 1148
Santruce, PR 00910
Phone: (787)767-8181
Fax: (787) 754-8294
* = NEJAC Executive Council member
AC = Academia EV = Environmental Group CG = Community Group IN = Industry/Business
NG = Non-governmental Organization SL = State/Local Government T/l = Tribal/Indigenous
Terms of Expiration
(1) = 12/31/2002 (2) = 12/31/2003 (3) = 12/31/2004
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National Environmental Justice Advisory Council
PUERTO RICO SUBCOMMITTEE
DRAFT STRATEGIC PLAN (SEPTEMBER 2002-2004)
September 30, 2002
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COMPOSITION OF THE SUBCOMMITTEE
Members of the Subcommittee are selected from the following groups: organizations that
address environmental impacts on communities (EV); academia (AC); municipal governments and
Commonwealth government (SL); businesses or industries(IN), non-governmental organizations
(NGO), and community groups (CG). The Subcommittee also will work closely with the Designated
Federal Official who is knowledgeable about federal environmental programs available to the
communities.
The following is the current Puerto Rico Subcommittee membership:
Tere Rodriguez, Designated Federal Official
Graciela Ramirez-Toro, Ph.D - (AC) - Chair
Juan C. Gomez-Escarce, Esq. - (NGO)
Brunilda Zayas - (EV)
Eugene P. Scott, Esq. - (SL)
Iris C. Cuadrado Gomez - (SL)
Pedro M. Torres, MD - (CG)
Carlos M. Padin, PhD - (AC)
Efren Perez - (CG)
Jose Cruz Rivera - (CG)
Rafael Robert, Esq. - (IN)
Michael Szendry, Ph.D - (EN)
Vacancy - (SL)
Disclaimer
This document has been reviewed and accepted by EPA as a part of the activities of
the National Environmental Justice Advisory Council, a public advisory committee
providing external policy information and advice to the Administrator and other
officials of the United States Environmental Protection Agency (EPA). The Council
is structured to provide balanced, expert assessment of issues related to environmental
justice.
Inside Front Cover
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Letter from Sponsoring Program Office
Management Approving the Strategic
plan
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National Environmental Justice Advisory Council
PUERTO RICO SUBCOMMITTEE
STRATEGIC PLAN (SEPTEMBER 2002-2004)
TABLE OF CONTENTS
EPA APPROVAL LETTER(S) /
INTRODUCTION 1
Mission 1
Goals 1
SUBCOMMITTEE GOALS AND OBJECTIVES 3
Goal 1 3
Goal 2 5
Goal 3 9
NEJAC MISSION STATEMENT 11
HISTORICAL PERSPECTIVE AND ACCOMPLISHMENTS OF SUBCOMMITTEE
Historical Perspective 12
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National Environmental justice advisory Council
PUERTO RICO SUBCOMMITTEE
STRATEGIC PLAN (SEPTEMBER 2002-2004)
INTRODUCTION
The National Environmental Justice Advisory Council's (NEJAC) mission
is to provide independent advice and recommendations to the U.S. Environmental
Protection Agency (EPA) that will help to improve the direction and
implementation of environmental justice programs and initiatives. As one of six
subcommittees to the NEJAC, the Puerto Rico Subcommittee has created a two
year strategic plan to guide its work in 2002-2004 in providing advise on how to
most effectively address environmental justice issues affecting Puerto Rico.
SUBCOMMITTEE MISSION
The members of the Puerto Rico Subcommittee (PRS), representing a
broad spectrum of the puertorrican community, will furnish advice, ideas and
diverse opinions to EPA decision-makers on the implementation of the
Environmental Justice Executive Order in Puerto Rico. This step was taken
because EPA believes that the Commonwealth of Puerto Rico, with its remote
geographic location and distinct cultural and demographic fee tors, has unique
needs with respect to addressing its environmental problems, and that creative
solutions are called for to meet these needs.
SUBCOMMITTEE GOALS AND OBJECTIVES
The Puerto Rico Subcommittee has identified the following goals and
specific objectives to be pursued over the next two years:
1. Provide advice and recommendations to EPA Region 2 regarding
the Region's Environmental Justice Interim Guidance.
1.1 Train the PR Subcommittee members on Environmental
Justice Executive Order 12898 and the charter of the
NEJAC.
1.2 Review the EPA Region 2 Environmental Justice Interim
Guidance and assess its implementation to date.
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2. Provide recommendations and advice to the NEJAC on the
development of EPA policy, guidance, and protocol regarding
pollution prevention to help achieve environmental justice for the
people of Puerto Rico.
2.1 Identify pollution prevention issues unique to Puerto Rico
which may deem special consideration in national policy
making.
2.2 Identify ways in which existing pollution prevention
initiatives can be enhanced to increase their effectiveness in
addressing issues of environmental justice in Puerto Rico.
3. Provide recommendations and advice to the NEJAC on the
development of EPA policy, guidance, and protocol regarding
cumulative risk to help achieve environmental justice for the people
of Puerto Rico.
3.1 Identify cumulative risk factors and/or issues unique to
Puerto Rico which may deem special consideration in
national policy making.
These objectives are further defined in the following pages and include key
activities and time frames concerning how they will be accomplished.
2
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GOAL 1:
Provide advice and recommendations to EPA Region 2
regarding the Region's Environmental Justice Interim
Guidance.
OBJECTIVE 1.1 Train the PR Subcommittee members on
Environmental Justice Executive Order 12898 and the
charter of the NE JAC.
Product/Activity: Environmental Justice Orientation Session
Desired Outcome: PR Subcommittee members are knowledgeable of
environmental justice definitions, issues, and regulations and
have a clear understanding of the NEJAC charter, including
its mission and operating framework.
PRS Member Leads: Xxxxxxxxx, Xxxxxxxxxxx
Key Activities & Time Lines:
Key Activity or Key areas of
concentration
Estimated Date
for Completion
Projected
Outcome
Appointment of PR Subcommittee
members
Summer 2002
Balanced
representation of
the communities
in Puerto Rico.
FACA and NEJAC Orientation Session
September 2002
Environmental Justice Orientation
Session
October 2002
Critical Success Factors:
Continued support by EPA personnel for environmental justice
presentations.
EPA financial resources for securing meeting rooms and conference
calls.
Subcommittee members have time available to maintain
communication links and to participate in the meetings.
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Supporting Organizations:
Internal
External
EPA Office of Environmental Justice
EPA Region 2
OBJECTIVE 1.2: Review the EPA Region 2 Environmental Justice
Interim Guidance and assess its implementation to date.
Product/Activity: Memo to EPA Region 2 Administrator with comments and
recommendations on how to improve/enhance the Region's
EJ Interim Guidance.
Desired Outcome: Improved Regional EJ Interim Guidance
PRS Member Leads: XXXXXXXXXXXXXX
Key Activities & Time Lines:
Key Activities (or key areas of concentration)
Estimated Dates
Distribute EJ Interim Guidance by mail to all PRS
members
Presentations by Region 2 EJ Coordinator on the EJ
Interim Guidance and by CEPD on its implementation
Business meeting to discuss EJ Interim Regional
Guidance and its implementation
Conference Calls to discuss comments on EJ Interim
Guidance
Prepare draft memo and circulate for comments
Meet with CEPD Director to discuss comments and
recommendations
Finalize memo to Regional Administrator
Critical Success Factors:
Continued support by EPA personnel for PRS activities is
4
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maintained.
• EPA financial resources for an PRS meeting are available.
Subcommittee members have time available to maintain
communication links and to participate in the meetings.
Supporting Organizations:
Internal
External
EPA Region 2
GOAL 2: Provide recommendations and advice to the NEJAC on
the development of EPA policy, guidance, and protocol,
to help achieve environmental justice for the community
in Puerto Rico.
OBJECTIVE 2.1 Identify pollution prevention issues/opportunities
unique to Puerto Rico which may deem special
consideration in national policy making
Product/Activity: Develop a NEJAC report on "Addressing Environmental
Justice Through Pollution Prevention," which will contain a
set of cogent recommendations for EPA on how to address
issues of concern relevant to Puerto Rico.
Desired Outcome: EPA work with the key environmental justice stakeholders
to implement the NEJAC recommendations on how
pollution prevention can effectively be used to address
environmental justice concerns relevant to Puerto Rico.
PRS Member Leads: Xxxxxxxxx, Xxxxxxxxxxx
Key Activities & Time Lines:
Key Activity or Key areas of
concentration
Estimated Date
for Completion
Projected
Outcome
Presentation by CEPD Director on
PuertoRico's environmental profile
Fall 2002
5
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Hold a business meeting to gather
information from appropriate
government agencies with pollution
prevention programs.
Fall 2002
Hold a public comment session to
obtain input from the general public
regarding pollution prevention issues.
Fall 2002
Designate XXX members to serve on a
pollution prevention work group
Fall 2002
Discuss via conference calls the
findings of the public comment session
and develop recommendations for the
NEJAC.
Fall 2002
Develop first draft of the report and
distribute to organizations for
input/comment-
Review comments, redraft report, and
seek final review from those who
commented
Complete Interim-Final Draft and
submit to NEJAC Executive Council
for review and approval
Complete the Report and
Recommendations to be provided to
the NEJAC at the December
conference.
December 2002
Report
Critical Success Factors:
Continued support by EPA personnel for PRS activities.
EPA financial resources for logistical support are available.
Subcommittee members have time available to maintain
communication links and to participate in the meetings.
Supporting Organizations:
Internal
External
NEJAC PR Subcommittee
PR Environmental Quality Board
6
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EPA Office of Environmental Justice
Solid Waste Administration
EPA Region 2, CEPD
OBJECTIVE 2.2: Identify ways in which existing pollution prevention
initiatives can be enhanced to increase their effectiveness in
addressing issues of environmental justice in Puerto Rico.
Product/Activity: Letter to EPA Regional Administrator
Desired Outcome: Intensification in the implementation of existing pollution
prevention programs managed by EPA and those delegated
to state agencies to maximize their effectiveness.
PRS Member Leads: XXXXXXXXXXXXX
Key Activities & Time Lines:
Key Activities (or key areas of concentration)
Estimated Dates
Discuss recommendations via conference calls
Develop first draft of the letter
Review comments, redraft guide, and seek final
review from those who commented
Complete Interim-Final Draft and submit to NEJAC
Executive Council for review and approval
NEJAC completes Final Draft and submits to Agency
Critical Success Factors:
Continued support by EPA personnel for PRS activities is
maintained.
EPA financial resources for an PRS meeting are available.
There is interest within the Commonwealth of PR agencies for this
effort.
Subcommittee members have time available to maintain
communication links and to participate in the meetings.
Supporting Organizations:
7
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Internal
External
EPA Office of Environmental Justice
PR Environmental Quality Board
EPA Region 2
Solid Waste Authority
8
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GOAL 3: Provide recommendations and advice to the NEJAC on
the development of EPA policy, guidance, and protocol
regarding cumulative risk to help achieve
environmental justice for the community in Puerto
Rico.
OBJECTIVE 3.1 Identify cumulative risk factors and/or issues unique to
Puerto Rico which may deem special consideration in
national policy making.
Product/Activity: Develop a NEJAC report on "Addressing Environmental
Justice Through Cumulative Risk Assessments," which will
contain a set of cogent recommendations for EPA on how
to address issues of concern relevant to Puerto Rico.
Desired Outcome: EPA work with the key environmental justice stakeholders
to implement the NEJAC recommendations on how manage
and assess cumulative risk to address environmental justice
concerns relevant to Puerto Rico.
PRS Member Leads: Xxxxxxxxx, Xxxxxxxxxxx
Key Activities & Time Lines.
Key Activity or Key areas of
concentration
Estimated Date
for Completion
Projected
Outcome
Provide training to interested PRS
members on environmental risk
(tentative)
Hold a business meeting to gather
information from appropriate
government agencies which perform
cumulative risk analyses
Designate XXX members to serve on a
cumulative risk work group
Hold a public comment session to
obtain input from the general public
regarding cumulative risk issues.
9
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Hold a business meeting to gather
information from experts in cumulative
risk analyses
Discuss via conference calls the
findings of the public comment session
and develop recommendations for the
NEJAC.
Complete the Report and
Recommendations to be provided to
the NEJAC at the national conference.
Report
Critical Success Factors:
Continued support by EPA personnel for PRS activities is
maintained.
EPA financial resources for an PRS meeting are available.
There is interest within the Commonwealth of PR agencies for this
effort.
Subcommittee members have time available to maintain
communication links and to participate in the meetings.
Supporting Organizations:
Internal
External
EPA Office of Environmental Justice
EPA Region 2, CEPD
10
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NEJAC MISSION STATEMENTS
The NEJAC was established September 30, 1993. The Council is
chartered in two year increments. The NEJAC's mission is to provide
independent advice and recommendations to EPA that will help to improve
direction and implementation of environmental justice programs and initiatives as
defined in its charter. NEJAC's advice and recommendation shall be directed
toward:
Advice on EPA's framework
development for integrating
socioeconomic programs into
strategic planning, annual planning
and management accountability for
achieving environmental justice
results agency-wide.
Advice on measuring and evaluating
EPA's progress, quality, and
adequacy in planning, developing, and
implementing environmental justice
strategies, projects, and programs.
Advice on EPA's existing and future
information management systems,
technologies, and data collection, and
to conduct analyses that support and
strengthen environmental justice
programs in administrative and
scientific areas.
Advice to help develop, facilitate, and
conduct reviews of the direction,
criteria, scope, and adequacy of the
EPA's scientific research and
demonstration projects relating to
environmental justice.
Provide advice for improving how the
EPA and others participate,
cooperate, and communicate within
the Agency and between other
Federal
agencies, State, or local governments,
Federally recognized Tribes,
environmental justice leaders, interest
groups, and the public.
Advice regarding EPA's
administration of grant programs
relating to environmental justice
assistance (not to include the review
or recommendations of individual
grant proposals or awards.
Advice regarding EPA's awareness,
education, training, and other
outreach activities involving
environmental justice.
11
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HISTORICAL PERSPECTIVE AND ACCOMPLISHMENTS
Since 1996, Region 2 of the US Environmental Protection Agency had
undertaken efforts to seek approval from EPA Headquarters to raise the financial
budgetary ceiling for the establishment of a federal advisory committee for Puerto
Rico. Representatives from Puerto Rico at the NEJAC had also requested that a
separate advisory council be convened for Puerto Rico to address the unique set of
socio-economic characteristics and environmental conditions the citizens of Puerto
Rico face. In addition, there was considerable interest on the part of non-
governmental organizations (NGOs) and others in Puerto Rico for the
establishment of a separate environmental justice advisory committee that would
provide for a broader participation by Puerto Rico residents to address
environmental justice concerns. In 2000, EPA Region 2 was granted the approval
to establish a NEJAC subcommittee for Puerto Rico.
The NEJAC Puerto Rico Subcommittee held its first meeting on September
26 and 27, 2000. The meeting was held in Manati, Puerto Rico. The U.S.
Environmental Protection Agency's Region 2 Administrator, Ms. Jeanne Fox,
participated in the meeting, as well as other EPA Headquarters and EPA Region 2
personnel from both, the New York and the Caribbean offices.
On the evening of September 26, the Subcommittee held a public comment
session. Comments were received from a wide range of issues including, public
participation, solid waste and Vieques. At the end of the meeting, the
Subcommittee agreed to work on the following areas: (1) Public Participation,
(2) Water Quality, (3) Solid Waste, and (4) Air Quality and (5) Vieques. In
addition, the Subcommittee agreed to review the EPA Region 2 EJ Interim
Guidance and the Strategic Plan, when available.
The Subcommittee held a working meeting via conference call on October
2000 to further discuss the formation of workgroups agreed upon during its first
meeting. The Subcommittee decided to postpone the formation of the workgroups
and to first focus on reviewing the public participation process. Also, there was
consensus among most of the members that they felt they needed to learn more
about environmental justice.
On November 2000, the Subcommittee held a business meeting as agreed
in the September meeting. EPA personnel presented, in detail, the Region's EJ
Interim Guidance and discussed the environmental justice analyses conducted in
the evaluation of the Aguada and Arecibo NPDES permits and 301(h) waivers.
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Waste and
Facility Siting
Subcommittee
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AGENDA
NEJAC Waste and Facility Siting Subcommittee
Baltimore, Maryland
December 11, 2002
8:30 a.m. Introductions
- Veronica Eady, Kent Benjamin, and Marjorie Buckholtz
9:00 a.m. Review of Strategic Plan
- Veronica Eady, et. al.
9:30 a.m. Federal Facilities Working Group Status Report
- Dr. Mildred McClain and Trina Martynowicz- EPA/FFRRO
11:00 a.m. Marianne Horinko's Six OSWER Priorities in the NEJAC Context.
- Mary Nelson and Veronica Eady
12:30 p.m. LUNCH
1:30 p.m. Unintended Impacts Work Group Issues and Status Report
- Michael Lythcott and Suganthi Simon - EPA/OSWER
3:00 p.m. Pollution Prevention Projects Related to Worker Training and Homeland Security
- Sharon Beard- NIEHS
3:30 p.m. OSWER Pollution Prevention Topics
4:30 p.m. Lessons Learned from Region 6 Listening Session
5:00 p.m. Wrap-up
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NEJAC WASTE AND FACILITY SITING SUBCOMMITTEE
List of Members
2002
DESIGNATED FEDERAL OFFICIAL
Kent Benajmin
Environmental Justice and State Liaison
Innovation, Partnerships, and Communication
Office (IPCO)
U.S. Environmental Protection Agency
1200 Pennsylvania Ave. NW - MC 5101-T
Washington, DC 20460-0001
Phone: (202)566-0185
Fax: (202) 566-0202
E-mail: beniamin.kent@epa.gov
CHAIR
Veronica Eady, Esq. -1 year (AC) *
Tufts University
Department of Urban and Environmental Policy
97 Talbot Avenue
Medford, MA 02155
Phone: (617)627-2220
Fax: (617)627-3377
E-mail: veronica.Eadv@tufts.edu
VICE-CHAIR (Acting)
Mary Nelson - 1 year (CG) *
Bethel New Life, Incorporated
4950 West Thomas
Chicago, IL 60651
Phone: (773) 473-7870
Fax: (773) 473-7871
E-mail: mnelson367@aol .ccm
Other Members
Academia
Robert "Bob" Collin- 3 years (AC)
Associate Professor
University of Oregon
Environmental Studies
5223 University of Oregon
Eugene, OR 97403
Phone: (541) 346-3822 W
Fax: (541)607-1073
E-mail: homemoio@aol.com
Community Group
Harold Mitchell -1 year (CG) *
Director
Regenesis, Inc.
101 Anita Drive
Spartanburg, SC 29302
Phone: (864) 542-8420
Fax: (864) 542-8420
E-mail: regenesisinc@aol.com
Dr. Mildred McClain-1 years (CG)
Executive Director
Harambee House, Inc.
115 Habersham Street
Savannah, GA 31401
Phone: (912)233-0907
Fax: (912)233-5105
E-mail: cfei@bellsouth.net
Industry/Business
Robert L. Harris - 2 years (IN) *
Vice President
Environmental Affairs
Pacific Gas and Electric Company
P. O. Box 770000
San Francisco, CA 94177-0001
Phone: (415)973-3833
Fax: (415)973-1359
E-mail: rlh6@pge.com
Vincent "Butch" Wardlaw- 3 years (IN)
Senior Project Manager
DecisionQuest
110 14th Street, NW
Washington, DC 20005
Phone: (202)408- 1000
Fax:
E-mail: vwardlaw@decisionquest.com
Michael J. Lythcott- 3 years (IN)
President
The Lythcott Company
Six Julian Way
Marlboro, NJ 07746-1615
Phone: (732)617-2076
Fax: (732)617-2071
E-mail: adevemi@world.oberlin.edu
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Non-Governmental/Environmental Group
Michelle B. Alvarez - 3 years (NG)
Staff Attorney
Natural Resources Defense Council
40 West 20th Street
New York, NY 1011
Phone: (212)727-4534
Fax: (212)727-1773
E-mail: malvarez@nrdc.org
Judith M. Espinosa - 3 years (NG) *
Director, ATR Institute
University of New Mexico
1001 University Boulevard, SE, Suite 103
Albuquerque, NM 87106-4342
Phone: (505)246-6410
Fax: (505) 246-6001
E-mail: imespino@unm.edu
Leslie G. Fields - 3 years (NG)
Director, International Programs
Friends of the Earth
1025 Vermont Avenue, NW, 3rd Floor
Washington, DC 20005-6303
Phone: (202) 783-7400
Fax: (202) 783-0444
E-mail: lfields@foe.org
Donna Gross McDaniel -1 year (NG)
Laborers-AGC Education and Training Fund
107 Cameron Parke Place
Alexandria, VA 22304
Phone: (703)960-3145
Fax: (703)960-3146
E-mail: dmcdaniel@laborers-agc.org
State/Local
Denise D. Feiber -1 year (SL)
Public Information Director
Plant Industry Division
Florida Department of Agriculture & Consumer
Services
1911 SW 34th Street
Gainesville, FL 32608-1201
Phone: (352) 372-3505, ext. 102
Fax: (352)334-1719
E-mail: feiberd@doacs.state.fl.us
Melvin "Kip" Holden -1 year (SL)
838 North Boulevard
Baton Rouge, Louisiana 70802
Phone: (225) 346-0406, (225) 774-8017
Fax: (225)771-5852
E-mail: Iarep063@legis.state.la.us
Mosi Kitwana - 3 years (SL)
Director, Research and Development
ICMA
777 North Capitol Street
Washington, DC 20002
Phone: (202) 962-3649
Fax: (202) 962-3506
E-mail: mkitwana@icma.org
Tribal/Indigenous
Randall Gee - 3 years (T/l)
Environmental Scientist
Cherokee Nation
Office of Environmental Service
P. 0. Box 948
Tahlequah, OK 74465
Phone: (918)259-5376
Fax:
E-mail: rgee@cherokee.org
* = NEJAC Executive Council member
AC = Academia EV = Environmental Group CG = Community Group IN = Industry/Business
NG = Non-governmental Organization SL = State/Local Government T/l = Tribal/Indigenous
Terms of Expiration
(1) = 12/31/2002 (2) = 12/31/2003 (3) = 12/31/2004
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National Environmental Justice Advisory Council
WASTE AND FACILITY SITING SUBCOMMITTEE
DRAFT STRATEGIC PLAN (SEPTEMBER 2002-2004)
September 30, 2002
September 30, 2002
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COMPOSITION OF THE SUBCOMMITTEE
Members of the Waste and Facility Siting Subcommittee are individuals selected from:
environmental and community groups; academia; non-governmental organizations; industry; and state,
local, and tribal governments, who have first-hand knowledge of environmental justice issues in relation to
the waste programs purview by the EPA Office of Solid Waste and Emergency Response (OSWER). The
waste programs under OSWER include: solid waste, underground storage tanks, brownfields revitalization,
cleanup of federal facilities and hazardous wastes sites, and response to emergency incidents involving oil
spills or releases of hazardous substances.
The Subcommittee also works closely with the Program Office Designated Federal Officer who is
knowledgeable in environmental justice issues as well as in OSWER waste programs.
The following is the current membership of the Waste and Facility Siting Subcommittee:
Designated Federal Officer: Kent Benjamin
Chain Veronica Eady
Vice Chair: Mary Nelson (Acting)
Members: Michelle Alvarez
Robert Collin
Judith Espinosa
Denise Feiber
Leslie Fields
Randall Gee
Robert Harris
Melvin "Kip" Holden
Mosi Kitwana
Michael Lythcott
Dr. Mildred McClain
Donna McDaniel
Harold Mitchell
Vincent "Butch" Wardlaw
Disclaimer
This document has been reviewed and accepted by United. States Environmental Protection Agency (EPA)
as a part of the activities of the National Environmental Justice Advisory Council, a public advisory
committee providing external policy information and advice to the Administrator and other officials of
the EPA. The Council is structured to provide balanced, expert assessment of issues related to
environmental justice.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
OFFICE OF SOLID WASTE AND
EMERGENCY RESPONSE
November 4, 2002
MEMORANDUM
SUBJECT: OSWER Approval of the Waste and Facility Siting Subcommittee Strategic
This memorandum restates the commitment of the Office of Solid Waste and Emergency
Response (OSWER) to sponsor and support the Strategic Plan developed by the Waste and
Facility Siting (W&FS) Subcommittee of the National Environmental Justice Advisory Council
(NE JAC). In close consultation with OSWER's programs and management, the Wr&FS
Subcommittee has developed the attached two-year Strategic Plan for its work through
September 2004. The Strategic Plan includes the revised mission for the Subcommittee as well as
the activities to accomplish the Subcommittee goals.
We understand that after program approval, the Strategic Plan is presented for
consideration and approval to the NEJAC Executive Council. Please let us know if the NEJAC
Executive Council needs additional information for its review of this plan. Based on the approach
outlined in the attached strategic plan, OSWER is confident that the Subcommittee will continue
to provide EPA with relevant, timely and independent advice and recommendations on waste and
facility siting issues.
If you need more information, please contact Kent Benjamin, W&FS Subcommittee
Designated Federal Officer, at (202) 566-0185.
Attachment
cc: Marianne Horinko, OSWER
OSWER Office Directors
Veronica Eady, W&FS Subcommittee
Kent Benjamin, OSWER/IPCO
Plan
FROM: Michael H. Shapiro /s/
Principal Deputy Assistant Administrator
TO:
Barry E. Hill, Director
Office of Environmental Justice
Office of Enforcement and Compliance Assurance
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National Environmental Justice Advisory Council
WASTE AND FACILITY SITING SUBCOMMITTEE
STRATEGIC WORK PLAN
(October 2002-September 2004)
TABLE OF CONTENTS
EPA PROGRAM APPROVAL MEMORANDUM i
INTRODUCTION 1
SUBCOMMITTEE MISSION 1
SUBCOMMITTEE GOALS AND OBJECTIVES 1
SUBCOMMITTEE WORK PLAN
Goal 1 3
Goal 2 5
Goal 3 7
NEJAC MISSION STATEMENT 9
SUBCOMMITTEE OVERVIEW
Historical Perspective 10
Accomplishments 10
MEMBERS IN SUBCOMMITTEE GOALS WORKGROUPS 12
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National Environmental Justice Advisory Council
WASTE AND FACILITY SITING SUBCOMMITTEE
STRATEGIC WORK PLAN
(October 2002 - September 2004)
INTRODUCTION
The mission of the National Environmental Justice Advisory Council (NEJAC) is to
provide independent advice and recommendations to the Environmental Protection Agency (EPA)
that will help to improve the direction and implementation of environmental justice programs and
initiatives. As one of the seven NEJAC subcommittees, the Waste and Facility Siting
Subcommittee has developed this two-year strategic work plan to guide its work during fiscal
years 2003 and 2004. The plan will assist the Subcommittee in providing advise on how to most
effectively address environmental justice issues in relation to the waste programs purview by the
EPA Office of Solid Waste and Emergency Response (OSWER).
SUBCOMMITTEE MISSION
The Waste and Facility Siting (W&FS) Subcommittee will provide independent advice and
recommendations to EPA through the NEJAC Executive Council on the development and
implementation of the policies and programs related to waste issues and facility siting in a manner
that is responsive to environmental justice and promotes public involvement and cooperative
partnerships.
SUBCOMMITTEE GOALS AM) OBJECTIVES
The W&FS Subcommittee has identified the following four main goals and their respective
objectives to be pursued over the next two years:
1. Strengthen the role of community residents in the clean up and disposition of
federal properties through the work of the NEJAC Federal Facilities
Working Group (FFWG).
1.1. Establish a collaborative and close coordination between the work of the
W&FS Subcommittee and the FFWG.
1.2. Assist the FFWG in identifying case studies whose key issues of concern will
be evaluated to develop general principles based on examples from actual sites.
1.3 Compile a list of resources available to communities to assist them in
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participating more effectively in the clean up of federal properties.
1.4 Provide a forum for dialogue between federal agencies and communities
impacted by federal facilities.
2. Foster community-based planning approaches for the reuse of property that
will promote sustainability, properly weigh impacts of cleanup, and foresee
and forestall unintended consequences such as gentrification and
displacement.
2.1 Develop six case studies to identify lessons, success factors and challenges for
community involvement in reuse planning.
2.2 Research existing authorities EPA can use to assist communities in planning
and reuse.
3. Influence land use issues and initiatives within OSWER as they develop to
make them as sensitive as possible at the outset to environmental justice
issues and to ensure that environmental justice goals are incorporated into
the implementation of OSWER Six Priorities.
3.1 Establish ongoing contacts with OSWER staff responsible for the six primary
priorities identified by OSWER Assistant Administrator Marianne Lamont
Horinko.
3.2 Provide ongoing advice and input to OSWER through NEJAC on developing
initiatives that concern land use issues.
3.3 Develop a small-scale communications strategy template to help manage
expectations and enhance the usefulness of forums (e.g., listening sessions) and
other tools to gather input on the issue.
The specific objectives are further defined in the next section along with the key activities
and time frames concerning how they will be accomplished.
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SUBCOMMITTEE WORK PLAN
GOAL 1: Strengthen the role of community residents in the clean up and disposition of
federal properties through the work of the NEJAC Federal Facilities
Working Group (FFWG)."
Objective 1.1:
Objective 1.2:
Objective 1.3:
Objective 1.4:
Establish a collaborative and close coordination between the work
of the W&FS Subcommittee and the FFWG.
Assist the FFWG to identify five case studies whose key issues of
concern will be evaluated to develop general principles based on
examples from actual sites.
Compile a list of resources available to communities to assist them
in participating more effectively in the cleanup of federal properties.
Provide a forum for dialogue between federal agencies and
communities impacted by federal facilities.
Products/Results: A best practices report from the FFWG that reflects the input, feedback,
and concerns from the W&FS Subcommittee.
Desired Outcome: Collaboration and close coordination between the two groups.
Leader: Dr. Mildred McClain
Key Activities by Objective
1.1 Designate Subcommittee member as
liaison to the FFWG
Request assignment of new DFO
for FFWG
Start Date Completion Date Deliverable
1Q '03
1Q '03
1Q '03
1Q '03
Assigned
representative
Assigned DFO
1.2 Provide direct feedback to FFWG work 2Q '03
3Q '03
2Q '03
4Q '03
Feedback to
FFWG on case
studies
selection
Comments
on FFWG
draft report
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1.3 Develop Subcommittee Workgroup to 3Q '03
research and compile available resources
to communities
1Q '04
Develop report
with list of
resources
1.4 Invite to Subcommittee meeting the 2Q '03
appropriate parties to start dialogue
2Q'03
Meeting with
agencies and
communities
Critical Success Factors:
• Appropriate selection of diverse case studies reflecting geographical, ethnic, racial, and
cultural diversity
• Involvement of community organizations and grassroots groups as well as federal agencies
Appropriate implementation of Memorandum of Understanding between EPA and other
federal agencies (already in place)
Development of effective case study methodology
• Productive collaboration between W&FS Subcommittee and FFWG
Contractor support
Supporting Organizations:
External
DOD
DOI
USD A
GSA
HUD
Internal
NEJAC Subcommittees (as needed)
Office of Environmental Justice
OSWER
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GOAL 2: Foster community-based planning approaches for the reuse of property that
will promote sustainability, properly weigh impacts of cleanup, and foresee
and forestall unintended consequences such as gentrification and
displacement.
Objective 2.1:
Evaluate six case studies to identify lessons, success factors and
challenges for community involvement in reuse planning.
Objective 2.2:
Research existing authorities that EPA can use to assist
communities in planning and reuse.
Products/Results:
Report that identifies how fewer unintended consequences can be obtained
as the result of EPA cleanup and redevelopment actions and what are EPA
authorities to assist communities on better planning.
Desired Outcome:
More direct and positive contacts between EPA and communities and
better understanding of the impacts of EPA actions on the affected
communities.
Leaders:
Mosi Kitwana and Michael Lythcott
Key Activities by Objective Start Pate Completion Date Deliverable
2.1 Selection and evaluation of case studies 1Q '03 3Q '03 Report and
recommendations
2.2 Develop Subcommittee Workgroup to 4Q '03 2Q '04 Develop report
do research and identify EPA authorities with list of
authorities
Critical Success Factors:
Appropriate selection of diverse case studies reflecting geographical, ethnic, racial, and
cultural diversity.
Appropriate selection of diverse case studies reflecting EPA/OSWER programs
(Brownfields Showcase Communities, Superfiind Reuse Initiative, BRAC, etc.)
Development of effective case study methodology, learning lessons from successes as well
as failures.
Contractor support.
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Supporting Organizations:
Internal
Performance Track Program
Office of Environmental Justice
OSWER
External
ICMA
Regenesis, Inc.
• Federal Interagency Working Group on Environmental Justice (IWG)
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GOAL 3: Influence land use issues and initiatives within OSWER as they develop to
make them as sensitive as possible at the outset to environmental justice
issues and to ensure that environmental justice goals are incorporated into
the implementation of OSWER Six Priorities.
Objective 3.1:
Establish ongoing contacts with OSWER staff responsible for the six
primary OSWER priorities identified by Assistant Administrator
Marianne Lamont Horinko.
Objective 3.2:
Objective 3.3:
Products/Results:
Desired Outcome:
Leader:
Provide ongoing advice and input to OSWER through NEJAC on
developing initiatives that concern land use issues.
Develop a small-scale communications strategy template to help
manage expectations and enhance the usefulness of forums such as
listening sessions and other tools to gather input on the issue.
Strong and effective policies and initiatives from OSWER that are sensitive
to environmental justice issues, responsive to community needs, and further
environmental justice where possible.
Collaborative and close coordination between the Subcommittee and OSWER
management, maximizing opportunities to provide input to OSWER on
subjects it identifies as keenly important.
Mary Nelson/Denise Feiber
Key Activities by Objective
3.1 Designate Subcommittee
OSWER priority lead
Track progress
Start Pate Completion Date Deliverable
1Q '03 1Q '03
1Q '03
3.2 Communication with OSWER 1Q '03
management
Provide requested feedback 1Q '03
Ongoing
Assigned
representative member
Develop tracking
chart
Ongoing Bi-annual meetings
Ongoing Feedback to OSWER
on guidances (grants,
Revitalization
Agenda)
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3.3 Develop Subcommittee Workgroup 2Q '03 4Q '03 Develop
to develop strategy Communication
Strategy
Critical Success Factors:
• Request for advice and early involvement in the development process for new OSWER
initiatives.
• Clear understanding of OSWER initiatives through briefings from senior managers and
other staff.
Supporting Organizations:
Internal
NEJAC Subcommittees (as needed)
Office of Environmental Justice
OSWER
External
DOD
DOI
USD A
GSA
HUD
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NEJAC MISSION STATEMENT
The EPA National Environmental Justice Advisory Council (NEJAC) was established on
September 30, 1993. The Council is chartered in two year increments. The NEJAC's mission is
to provide independent advice and recommendations to EPA that will help to improve direction
and implementation of environmental justice programs and initiatives as defined in its charter.
NEJAC's advice and recommendation shall be directed toward:
Advice on EPA's framework
development for integrating
socioeconomic programs into
strategic planning, annual planning
and management accountability
for achieving environmental justice
results agency-wide.
Advice on measuring and
evaluating EPA's progress,
quality, and adequacy in planning,
developing, and implementing
environmental justice strategies,
projects, and programs.
Advice on EPA's existing and
future information management
systems, technologies, and data
collection, and to conduct analyses
that support and strengthen
environmental justice programs in
administrative and scientific areas.
the EPA and others participate,
cooperate, and communicate
within the Agency and between
other Federal agencies, State, or
local governments, Federally
recognized Tribes, environmental
justice leaders, interest groups,
and the public.
Advice regarding EPA's
administration of grant programs
relating to environmental justice
assistance (not to include the
review or recommendations of
individual grant proposals or
awards).
Advice regarding EPA's
awareness, education, training,
and other outreach activities
involving environmental justice.
Advice to help develop, facilitate,
and conduct reviews of the
direction, criteria, scope, and
adequacy of the EPA's scientific
research and demonstration
projects relating to environmental
justice.
Provide advice for improving how
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SUBCOMMITTEE OVERVIEW
Historical Perspective
The clustering and disproportionate siting of noxious facilities in low-income, minority
communities led to the creation of the environmental justice movement. NEJAC formed the
Waste and Facility Siting (W&FS) Subcommittee as one of its original subcommittees,
immediately after the NEJAC was formed. The Subcommittee was created to conduct a factual
examination of waste transfer station siting and operation, with a focus of alleviating the impacts
of clustering, disproportionate siting, and unsafe operations in low-income, minority communities.
Historically, the W&FS Subcommittee has served as a sound board for new policy from its
sponsoring EPA office, the Office of Solid Waste and Emergency Response (OSWER). The
effort has produced new policy on environmental justice in OSWER's waste programs. The
original focus on waste and facility siting has evolved to include aspects of the waste programs
that include waste minimization, brownfields redevelopment, and land reuse and planning.
Accomplishments
Since its inception, the W&FS Subcommittee has worked to advise EPA on how to
address effectively site specific issues of concern regarding facility siting raised by communities
during the NEJAC meeting public comment periods. Additionally, the W&FS Subcommittee has
supported creative approaches to addressing the need for incorporating meaningful community
involvement in a variety of EPA efforts.
Public dialogue meetings conducted by the NEJAC facilitated EPA's initial work under
the Brownfields program. After holding five meetings in various areas of the country, with more
than 500 people attending, the Subcommittee produced a report that documents the comments
received about the development and revitalization of brownfields properties.
In addition, the dialogue brought attention to EPA and action on several significant issues,
including:
• The development, under the Brownfields National Agenda and Showcase
Community effort, of models of coordination and collaboration for communities in
which brownfields properties are located: to date that effort has garnered more
than $900 million in investments for 28 communities.
• Social aspects of the siting of waste facilities, with EPA advising state and local
governments about social issues related to the siting of such facilities, rather than
focusing solely in geophysical and structural issues.
• To address the issue of location of waste transfer stations, an extremely
controversial issue in New York City and many other large cities, the
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Subcommittee prepared a report in concert with the National Solid Waste
Management Association that described guidelines for best practices.
Documents produced by the W&FS Subcommittee during its existence are:
• A Regulatory Strategy for Siting and Operating Waste Transfer Stations, March
2000.
• Environmental Justice, Urban Revitalization, and Brownfields: The Search for
Authentic Signs of Hope - A Report on the "Public Dialogues on Urban
Revitalization and Brownfields: Envisioning Healthy CommunitiesDecember
1996.
Input from the Subcommittee was provided for the following EPA documents:
Sensitive Environments and the Siting of Hazardous Waste Management
Facilities, 1996.
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MEMBERS IN SUBCOMMITTEE GOALS WORKGROUPS
Goal #1, Federal Facilities Working Group
Members from W&FS Subcommittee:
Dr. Mildred McClain
Goal #2, Unintended Impacts Group
Members from W&FS Subcommittee:
Mosi Kitwana
Michael Lythcott
Bob Collin
Veronica Eady
Denise Feiber
Randall Gee
Butch Wardlaw
Goal #3, Ongoing Advice Group
Members from W&FS Subcommittee:
Mary Nelson
Denise Feiber
Donna McDaniel
Michelle Alvarez
Veronica Eady
Randall Gee
Mosi Kitwana
Michael Lythcott
Dr. Mildred McClain
Holly Welles
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EPA Region 1
Environmental Justice Listening Session
December 2002
EPA New England is pleased to submit this proposal detailing our ideas for a Regional Listening
Session(s). We would like to take this opportunity to share some of our views, past
experiences, and strategies for initiating and building productive dialogues with regional
stakeholders across the New England Region. We are very appreciative of your understanding
of the need for the regions to have flexibility in enhancing the dialogue with communities,
especially when these sessions can build off past and present regional efforts. EPA New
England's various approaches have almost always partnered with or had some involvement of
our States, Public Health Agencies, Community Based Organization, Local Governments and
Educational Institutions.
Our region has a rich history and expertise in building productive relationships with diverse
stakeholders across New England States. Starting in 1993, EPA New England started to create
an infrastructure among stakeholders to improve our relationships and build partnerships with
external sources. An initial effort created the first of its kind Urban/Environmental Justice
conference where we invited community leaders, and representatives of community based
organizations to meet and help us identify and define the issues they were most concerned
about. The unifying focus was to learn more from our local experts and community groups
about the issues that may have a negative impact on the health and environment of the citizens
in their respective communities.
We followed up this conference with site specific tours and community workshops which lead to
a series of action plans, strong partnerships with community based organizations, community
capacity building, and a sustainable community infrastructure focused in Boston, Providence,
and Hartford that demonstrated community-based environmental protection in action and
enables the community to be involved with the regional office in the early decision making
process. We will be building off this success in the future to service more environmental justice
needs effectively across the region.
Subsequent to this conference we have continued to use many strategies to engage the
communities and citizens of New England in constructive dialogue. Some of the strategies
include site tours hosted by community based organizations to discuss a specific issues,
providing regional EPA officials and staff a personal view of environmental issues, and
organizing health related or topic specific workshops (i.e. asthma or lead poisoning). We have
also conducted listening sessions with communities to specifically identify the issues they are
most concerned about and work in partnership on how best to target our resources (financial
and technical) or the resources of our other Federal or State partners to resolve them.
We are very fortunate to have Robert W. Varney as our Regional Administrator. He is sincerely
committed to Environmental Justice and to working even more closely with our state partners to
achieve measurable progress and results.
The enclosed proposal reflects both our commitment to work with the states especially through
our EPA New England- State Title VI Environmental Justice Work Group, and to implement our
EPA New England Environmental Justice Action Plan.
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Please refer to pages 8 through 11, External Stakeholder Engagement Strategy, contained in
the Action Plan, here we list Action Items that we believe can be easily tailored to listening
sessions.
For our initial proposal we are recommending Item # 5 Build/Enhance Partnership with selected
Federal Partners. Although we have had some success in the past in working with federal
partners, we believe a more targeted and comprehensive approach will increase our collective
abilities to provide and target the resources of the Federal Government to understand EJ issues,
and identify and target resources to Low Income and Minority EJ Communities.
It is very important that we have the flexibility to build off the excellent relationships we enjoy with
our States and that any new efforts like these Regional Listening Sessions will honor our current
commitments to work together to develop and implement the New England Regional Listening
Sessions.
If you require any further information please contact Mr. James M. Younger, Director Of Civil
Rights and Urban Affairs on 617-918-1061 or Kathy Castagna, Regional EJ Coordinator on 617-
918-1429.
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Proposed Model for Regional Listening Session
I. Identify Cross-Cutting, Regional Topic for Focus of Listening Session
EPA New England in consultation with community, government, and academic partners should
identify a cross-cutting, regional topic to focus the listening session. Having a targeted issue to
focus the discussion will be a key piece of bringing together diverse partners to have a very
productive dialogue. Topics that might be especially timely and productive include lead
poisoning and asthma/indoor air quality. These topics impact all the states in our region and
would build off current community, state, and regional efforts to resolve these environmental and
public health issues.
II. Identify & Engage Key Leadership Regional Stakeholders
Once a topic is identified, the second step to convening the Regional Listening Session (RLS) is
to reach out to a diverse coalition of local, state, and regional stakeholders that are currently
working on environment and public health issues. A group of approximately 15 representatives
from local, municipal & state government, nonprofit groups, environmental groups, academia,
federal agencies, and local business should be identified to play a leadership role in the
following:
Establishing common goals and objectives for the session.
Creating an agenda.
• Organizational details for event (i.e. time, place, etc.).
Joint preparation of invitation lists.
Commitment to move forward on action steps identified at the RLS
Convene RLS
The leadership team that was created in Step II will serve as the foundation to ensure broad,
diverse participation and help guide effective discussion on the focused topic. The RLS should
be run according to the agreed agenda, and be focused on make sure that the common goals
and objectives for the session are reached. The RLS should have significant participation
opportunities for all attendees to identify problems, understand constraints and needs, and work
to move forward to continue progress on a regional level. There should be time built into the
agenda to identify next steps and seek to broaden participation from a larger set of stakeholders
than the original leadership team created in Step II.
Follow-up to Stakeholder Meeting
This component will be critical to track progress on the next steps identified at the RLS and to
help identify which organizations/agencies are responsible for tasks. The follow-up should also
include creating a time line for tracking progress on the action steps and lead towards
measurable improvements on the issue selected for the topic. It is hoped that this model could
be replicated in the future for additional cross-cutting issues facing each state and community in
the New England Region.
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EPA Region 2
Environmental Justice Listening Session
December 2002
EPA Region 2 is committed towards engaging our external partners in our regional decision-
making processes. As we understand the importance for providing the public with opportunities
to solicit their input as well as increase their active participation, EPA Region 2's management
and staff, over the years, have sought to consider and implement a varied selection of options
and alternative approaches towards bridging and solidifying these relationships. Examples
include hosting public availability sessions during evening hours and/or weekends; conducting
multiple public events in different locales to allow for a wider audience participation; translating
documents of regional significance into languages other than English; and providing for
simultaneous translation services and on-site interpreters for our participants.
In all, EPA Region 2 has sought to engage our public stakeholders to allow for them to provide
comments and suggestions prior to, and during the decision-making process. Recently, we
have enhanced our approach in accomplishing this task by employing the EPA-Office of
Environmental Justice model for conducting regional environmental justice listening sessions.
Indeed, Region 2's senior management are enthusiastic in conducting such events throughout
the 4 states located within EPA Region 2's jurisdiction (New Jersey, New York, Puerto Rico and
the US Virgin Islands). Further, to enhance this process, we are actively seeking joint ventures
with our state environmental regulatory departments to conduct these listening sessions. Below
is a summary of activities regarding the status of EPA Region 2's efforts to conduct EJ listening
sessions in Fiscal Year 2003.
New York State:
EPA Region 2's Environmental Justice (EJ) Coordinator has contacted the New York State
Department of Environmental Conservation's EJ Coordinator to discuss the possibilities for
hosting a joint EJ listening session. Although an effort was underway to host a joint EJ listening
session event in November 2002, due to several logistical constraints - involving new security
measures - the event will be postponed. It is anticipated that the EJ listening session can be
performed in the early Spring of 2003.
New Jersey State:
In September 2002, EPA Region 2 Senior Management raised the topic of conducting joint EJ
listening sessions with the Commissioner for the New Jersey Department of Environmental
Protection (NJDEP). In principle, the NJDEP Commissioner has agreed to the concept covering
the sessions. Nevertheless, as the NJDEP is currently engaged in revisiting and modifying its
own proposed environmental equity rule, Region 2 envisions that at the earliest a joint EJ
listening session will take place during the Spring/Summer 2003 time frame.
Commonwealth of Puerto Rico:
The EPA Region 2 EJ Coordinator has engaged both the Chair and the Designated Federal
Official for the National Environmental Justice Advisory Council (NEJAC) Puerto Rico
Subcommittee to discuss options in hosting an event in Puerto Rico. As the NEJAC-PRS
recently acquired several new members, one of the options discussed involves hosting an EJ
listening sessions during the new committee's first public meeting. Given the forum would
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provide an excellent resource for both EPA and the FACA group, it is envisioned that such EJ
listening sessions would co-exist with the business activities of the NEJAC PRS. Additionally,
the Puerto Rico Environmental Quality Board will be momentarily contacted to seek their active
participation.
Virgin Islands:
The Region 2 EJ Coordinator and the Region 2 Virgin Islands Coordinator have discussed
opportunities to conduct EJ listening sessions within the islands. As there exists 3 major
islands, it is conceivable that EPA should consider hosting multiple sessions for any given set of
EJ-related topics relative to the Virgin Islands. To identify a suitable time frame for hosting
regional EJ listening sessions, the VI Coordinator will orchestrate discussions with the VI
Department of Planning and Natural Resources as well as with EPA Region 2 management on
programmatic events (e.g., public hearings) scheduled and/or anticipated in the Virgin Islands.
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EPA Region 3
Environmental Justice Listening Session
December 2002
EPA Region III participated in a Listening Session sponsored by the Maryland Department of the
Environment (MDE) and the Maryland Commission on Environmental Justice and Sustainable
Communities in December of 2001. The topics discussed during this Listening Session held in
Annapolis, Maryland were: Rubble Fill Landfills, Energy Generation Facility Siting, The Kennedy-
Kreiger Lead Study, and Waste Facilities in Urban Neighborhoods. Speakers representing a
number of communities across the state provided testimony for site-specific cases related to
the topics under discussion. Presenters provided oral testimony, written statements, data,
photographs, and other relevant information during their presentations. The presenters not only
asked questions of the panel members, but were asked clarifying questions and provided with
contact and other information by the panel. The panel consisted of one State Senator, two State
Delegates, the Environmental Justice Coordinators from MDE and EPA Region III, six members
of the Maryland Commission on Environmental Justice and Sustainable Communities, and
representatives from three county governments.
MDE and EPA Region III have been planning to hold a joint listening session in the City of
Baltimore. This meeting is tentatively planned for early 2003. Details of this listening session
have yet to be worked out. MDE has been planning to hold a series of 4 listening sessions
around the state and they have just received funding support from OEJ to assist in this activity.
EPA Region III will be present at all of these listening sessions. The Virginia Department of
Environmental Quality and EPA Region III are also in the early stages of planning joint listening
sessions.
The subject of Regional Listening Sessions has been discussed during both Region Ill's Annual
All States Environmental Justice Meetings and during our monthly Region III All States
Conference Calls. These discussions have been most productive with Maryland having already
held its first meeting and Virginia planning to hold its first, and there are discussions among the
other states for similar activities. In addition, Region 111 is planning to hold topic specific meetings
that will have a listening session component. The first of these being its Cumulative Risk
Conference being planned for this spring.
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EPA Region 4
Environmental Justice Listening Session
December 2002
The U.S. Environmental Protection Agency, Region 4, is committed to ensuring that
environmental justice is incorporated into the Region's programs, practices, and policies. To
that end, Region 4 will schedule environmental justice listening sessions throughout the eight
states in the region to allow external stakeholders, particularly communities, to express their
concerns in regards to environmental justice matters. These listening sessions will be
conducted in a manner to allow communities and community organizations a forum to engage in
dialogue specific to their area, region, and situation.
In August 2002, the Environmental Justice/Community Liaison Staff Office held a joint EPA and
state environmental agency environmental meeting. During that meeting, each state counterpart
agreed to participate in the listening sessions. We feel strongly that our states are engaged and
are equally committed to ensuring that our communities have the opportunity to make informed
decisions and to be active participants in the decisionmaking process. In addition, Region 4's
Regional Administrator will be issuing an Environmental Justice policy statement reiterating
EPA's efforts to engage our external stakeholders.
The first step in implementing the environmental justice listening sessions is to have clearly
defined goals so that participants can leave each session with a positive, learning experience.
The goals are listed below:
1. To gain a better understanding of environmental justice issues
2. To engage in a dialogue with EPA partners and stakeholders
3. To ensure that enforcement and compliance activities of the Agency address
environmental concerns and that these activities are coordinated to effectively meet the
needs of impacted communities, and
4. To hear environmental justice regional updates and success stories.
Process
• With the support of the Regional Administrator, we will involve EPA staff, the Region 4 EJ
cross-divisional team, and state environmental agencies.
We will schedule two to three listening sessions for fiscal year 2003, beginning March
2003.
Each session will be conducted in one of the eight Region 4 states.
We will solicit the assistance of a contractor to support the implementation of the
listening sessions.
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EPA Region 5
Environmental Justice Listening Session
December 2002
One of the objectives of Goal 7 of the Agency's Strategic Plan states "...EPA will improve the
ability of the American public to participate in the protection of human health and the environment
by increasing the quality and quantity of general environmental education, outreach, ...especially
in disproportionately impacted and disadvantaged communities." In keeping with this objective
and to keeping with EPA's commitment to environmental justice (as described in the
Administrator's memorandum dated August 9, 2001), the Region 5 EJ Regional Team (EJRT)
developed the Region 5 Environmental Justice Stakeholder Partnership Network (RESPN)
concept. The purpose of RESPN is to create avenues for information exchange and to
encourage cooperative efforts between all stakeholders. The ultimate goal of this network is to
form self-sustaining and progressive partnerships that will lead to community empowerment and
actions that alleviate environmental inequities.
The most recent RESPN forum was held in Milwaukee, Wl. After consulting with various staff
members that work in the area, Milwaukee was confirmed as the "best" location due to the lack
of any other targeted efforts in this area. Members of the Milwaukee City Council, the Milwaukee
Mayor's Office, and the Milwaukee Health Department, the 16th Street Community Health Center,
and the Black Health Coalition and other community/ government organizations were invited to
collaborate on this effort.
In the past, lack of community participation was identified as one of the key components of
unsuccessful EPA community outreach and education efforts. In order to enhance community
participation in RESPN, the EJRT developed and implemented an innovative workshop
development strategy, that is, "community-developed workshops/agendas." More specifically, in
the development stages of the workshop, EPA and its contractor met with the Milwaukee City
Council members, other members of city government, and numerous community groups to
present the concept of RESPN, announce the planned workshop and, most importantly, seek
input from them regarding: (1) environmental topics to put on the agenda; (2) when (day & time)
the workshop should be held; and (3) where the workshop should be held. The EJRT was
particularly proud of this approach because it encompassed the essence of community-based
environmental protection.
The workshop, which was held on March 28, 2002, from 10am-4:30pm at the Milwaukee County
War Memorial, was a tremendous success. The community had a sense of ownership
because they were included in the beginning of the process, the agenda included topics they
identified as issues of concern, and it was held when and where they wanted. We believe this
approach is the reason why approximately 75 community residents, not-for-profits, businesses,
industry and local and state government agencies attended the all-day forum.
The EJ Team Sponsor, Bertram Frey, opened the meeting and a representative from the
Milwaukee Mayor's office, Steven Mahan, provided remarks. Dr. Seth Foldy, Health
Commissioner, City of Milwaukee, provided the keynote address. The forum consisted of two
plenary sessions addressing EJ, brownfields redevelopment, community success stories, lead
prevention, community capacity building, and asthma. There were also 3 break-out sessions
which covered grants, children's health and economic redevelopment/neighborhood
improvement. The session speakers included representatives from EPA Region 5, the
Milwaukee Health Department, the Hmong American Friendship Association, Lisbon Avenue
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Neighborhood Development, the Sherman Park Community Association, the Milwaukee
Department of City Development, the 16th Street Community Health Clinic, the Black Health
Coalition, and local residents.
In support of the listening session concept, Region 5 is planning to hold one conference per year
for FY2003 and FY2004. The specific dates and locations are to be determined.
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EPA Region 6
Environmental Justice Listening Session
December 2002
The Region 6 Environmental Justice (EJ) Listening sessions are interactive, solution-oriented
dialogues conducted with community representatives, and in partnership with State, Tribal,
Federal, local and municipal government representatives and industry. EPA Region 6, in
partnership with Texas Southern University, will convene the first Region 6 EJ Listening Session
in Houston, Texas on November 14-16, 2002. The purpose of these listening sessions is to
engage in active discourse, on topics ranging from general to specific areas of common
interest/concern, and to work effectively toward mutually beneficial solutions.
Process:
EPA Region 6 and the Listening Session cosponsor, Texas Southern University, worked with a
diverse group of stakeholders to plan the Listening Session. The planning committee included
community-based organizations, academia, industry, and governmental representatives at the
state and Federal level. Planning committee participants identified a broad array of topics for
discussion at the first listening session. Six of the identified topics were selected for discussion
at the session: Enforcement and Supplemental Environmental projects; Permitting and Public
Participation: Relocation; Facility Siting; U.S./Mexico Border issues; and Employment and
Worker Training. Two additional topics (Water/wastewater and infrastructure & Pesticides and
Farmworker issues) will be discussed during a breakout session to plan for future meetings.
In addition to EPA, state environmental departments from Texas (Texas Commission on
Environmental Quality) and Louisiana (Louisiana Department of Environmental Quality) were
active participants in the Listening session planning process. TCEQ and community leaders
also co-moderated some of the sessions.
Session Goals:
Provide EJ community representatives in Region 6 with an opportunity to dialogue among
themselves and with government and industry decision-makers to address concerns
facing their respective communities.
Gather input and share information from communities on environmental, health, and
quality of life concerns;
Establish and strengthen working relationships between and among community
representatives, EPA and other government agencies, in order to secure long-term
partnerships;
Educate Agency officials on communities' environmental, health and quality of life
concerns and, concurrently, educate the community on the role of government in
addressing those concerns;
Discuss collaborative strategies to address potential environmental health risks;
Focus attention on issues relative to a particular environmental regulatory program; and
Share information resources and contacts, as necessary.
Next Steps - "After the Listening Session":
The workgroups formed to address topics in this Listening Session will continue the
collaborative process after the Listening Session to address the issues identified in this process.
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EPA Region 7
Environmental Justice Listening Session
December 2002
EPA Region 7 acknowledges the value of community involvement and engaging with the public
to identify and understand concerns and priorities of the people we serve. Historically the region
has hosted periodic environmental justice forums which included listening sessions. These
meetings have been large productions which included outreach and education components on
priority environmental justice and related concerns in a central location within the region.
Attendance has been strong with representation from throughout the region. The forums
afforded the region the opportunity to benchmark progress on addressing EJ concerns, identify
new issues and concerns, and to understand the values and concerns of communities
throughout the region. One element of feedback from these previous forums has been that
participation has been limited due to travel expenses. During FY2003 the region has committed
conducting multiple listening session in the region by coordinating with other organizations which
are conducting meetings/conferences on related subject matter.
The locations within the region have been identified as conducting meeting/conferences which
the may provide an opportunity for environmental justice listening sessions include:
• St. Louis, Missouri - An environmental justice youth conference is being planned for the
March, 2003. Region 7 has been asked to support the conference and an EJ listening
session has been proposed.
Garden City, Kansas - Western Kansas has the most rapidly growing migrant
population in the Region. Garden City, Kansas hosts an annual multi-cultural conference
in which communities from western Kansas, western Oklahoma, and Western Nebraska
come together and celebrate the growing diversity of their communities and discuss
ways to meet the challenges which these changes present. This conference is being
planned for the spring of 2003.
Kansas City, Missouri - Several organizations in the Kansas City metropolitan area
(city, county, university, and community service organizations) are interested in gaining
community input regarding environmental priorities. These entities are being encouraged
to work collaboratively to develop a coordinated approach which focuses on listening but
also identifying specific steps and commitments which need to be made in order to
produce tangible results. No date has been planned for this listening session.
Additional opportunities to conduct listening sessions will be identified on an on-going basis.
These sessions may be general or issue-specific in nature depending upon needs identified by
communities.
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EPA Region 8
Environmental Justice Listening Session
December 2002
On June 11 and 12, 2002, Region 8 held two environmental justice listening sessions. The
meetings, held in a Our Lady of Grace Church and the Commerce City Recreation Center,
solicited public input on environmental and health risks and recorded suggestions for local
environmental improvement projects. Attendants included local citizens, community
organizations, representatives of local and state government officials, and representatives of
local industry. Meetings were facilitated by R8 Environmental Justice staff. EPA staff also
served as English-Spanish translators.
Citizen concerns focused on exposure to contaminants, the lack of environmental education on
local (urban) environmental problems, inadequate trash and waste collection, inadequate indoor
and outdoor exercise, rehabilitation and preventative health care facilities, air quality issues
including contamination as well as odor from local industry, and noise pollution from industry
from major transportation corridors. Residents expressed a desire for programs which would
fund and support the local cleanup of abandoned lots and the formation of community gardens
and playgrounds, education programs on the importance of proper hazardous waste disposal
(such as motor oil), the dedication of abandoned buildings for the construction of community
health centers and more air quality monitoring.
All meeting participants expressed the desire for greater communication and partnerships
among the community and government agencies. Many participants emphasized the
importance of education and community involvement programs which consider social and
cultural contexts when considering, designing and implementing public health and environmental
projects.
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EPA Region 9
Environmental Justice Listening Session
December 2002
The EPA Pacific Southwest Office serves the States of Arizona, California, Hawaii and Nevada.
This paper delineates the Region's approach to hear what communities, agencies, and other
stakeholders have to say about environmental justice in their communities.
Listening sessions have been identified by EPA's Office of Environmental Justice as an activity
each EPA Regional Office should conduct to promote:
1) public/community access to the Agency's decision-making processes, and
2) the effective development of an environmental justice strategy based on the needs of
communities located in the Region.
To facilitate the listening sessions in Region 9, during 2002 the EJ Program has delivered the
Fundamentals of Environmental Justice workshop to over 30 entities in the State of California,
State and local agency air permit writers in Arizona, Clark County Nevada, various military
branches in the Dept. of Defense in Hawaii, and Hawaii Dept. of Health.
California
The EPA Region 9, Pacific Southwest Office has participated in listening sessions in
collaboration with the State of California's Environmental Protection Agency (CalEPA).
Recognizing that the State and local agencies are the first line of defense when it comes to the
implementation of environmental justice, EPA believes that it is our special responsibility to
ensure that environmental issues are addressed at the State and local level.
For the past 1 Vz years an EPA employee has been on loan to CalEPA for the development of
California's environmental justice program. Based on the passage of recent environmental
justice legislation, CalEPA was tasked to provide public forums for communities and other
stakeholders to participate in the development of the State's environmental justice strategy. In
Spring 2002, CalEPA held a kick-off meeting to initiate the public participation process for the EJ
strategy development. These meetings were followed by community-specific meetings held in
San Diego, Los Angeles, Fresno, and West Oakland. The U.S. EPA partnered with CalEPA
during the State of California's preliminary listening sessions in Sacramento, San Diego and
West Oakland. These sessions provided the public the opportunity to hear about and provide
comments on the State's draft environmental justice strategy. Additional community-based
listening sessions will be held to unveil the State's final version of the environmental justice
strategy. EPA Region 9 will support and participate in those sessions as well.
Arizona
In 2003, the Region will focus on conducting a listening session in the State of Arizona in
conjunction with the Arizona Department of Environmental Quality. This meeting may become a
series of meetings designed to provide follow up to community meetings held with the
Southwest Network for Environmental and Economic Justice (SNEEJ) in 2001 and 2002. The
2001 and 2002 meetings raised a series of issues of concern to communities in Arizona,
California, and along the U.S. Border with Mexico. The listening sessions will provide
stakeholders with the updates and status of the Agency's action taken in response to the issues
raised in 2001 and 2002.
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Nevada & Hawaii
Preparation and planning for listening sessions in Nevada and Hawaii will take place in 2003 in
anticipation of conducting the listening sessions in 2004.
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EPA Region 10
Environmental Justice Listening Sessions
December 2002
Region 10's Environmental Justice (EJ) listening sessions will be held during the fourth quarter
of FY 2003. The first listening sessions will be held in in the community in a location that has
easy access to both the building and parking. Invitations will be sent out to targeted
environmental justice community organizations and EJ activists, EJ individuals and EJ
community leaders. The second listening session will be held via a tele-conference. Invitations
and telephone calls will inform EJ community organizations, EJ activists, EJ individuals and EJ
community leaders about the listening sessions. The tele-conference will be of value for
participants who are not local and for participants from Alaska. There may be an additional
special tele-conference designed specifically for Alaska because of the potential environmental
justice issues and concerns that are specific to the environment and uniqueness of the Alaskan
lifestyle and substance living of many tribal communities and non-tribal communities in Alaska.
The listening sessions will be facilitated with an open dialog style allowing participants to speak
openly about topics, concerns, ideas, etc. The results will be recorded and analyzed to
determine if there are issues that EPA Region 10 should follow-up on or if specific EPA offices
should have additional conversations with the participant about the issues, ideas or concern
presented in the listening session.
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CD
CD
O
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U.S. Environmental Protection Agency
Environmental Justice Contacts
December 2002
headquarters contacts
Name
Use this address and the Mail Code (MC) for each Office.
1200 Pennsylvania Avenue NW
Washington, DC 20460
regional contacts
Telephone FAX
USEPA, REGION 1
Kathy Castagna
One Congress Street
Name Telephone Fax 11th Floor
Boston, MA 02203-0001
OFFICE OF ADMINISTRATION AND RESOURCES MANAGEMENT -
MC-3102-A
Carolyn Levine
202-564-1859 F: 202-564-1887
OFFICE OF AIR AND RADIATION - MC-6101-A
Wil Wilson 202-564-1954 F: 202-564-1549
USEPA, REGION 2
Derval Thomas
290 Broadway
26th Floor
New York, NY 10007
617-918-1429 F: 617-918-1029
212-637-5027 F: 212-637-4943
AMERICAN INDIAN ENVIRONMENTAL OFFICE - MC-4104
Jose Auguto 202-564-0289 F: 202-564-0298
OFFICE OF CIVIL RIGHTS - MC-1201-A
Mike Mattheisen 202-564-7291 F: 202-501-1836
USEPA, REGION 3
Reginald Harris 215-814-2988 F: 215-814-2905
1650 Arch Street
(MC-3ECOO)
Philadelphia, PA 19103
OFFICE OF COMMUNICATION, EDUCATION & MEDIA RELATIONSSEPA, REGION 4
- MC-1702-A Cynthia Peurifoy
Doretta Reaves 202-564-7829 F: 202-501-1773 61 Forsyth Street
Atlanta, GA 30303
OFFICE OF ENFORCEMENT AND COMPLIANCE ASSURANCE -
404-562-9649 F: 404-562-9664
MC-2201-A
Shirley Pate
202-564-2607 F: 202-501-0284
OFFICE OF ENVIRONMENTAL INFORMATION - MC-2812-A
Janice Jablonski 202-566-0981 F: 202-566-0977
USEPA, REGION 5
Karla Owens 312-886-5993 F: 312-886-2737
77 West Jackson Boulevard
(T-16J)
Chicago, IL 60604-3507
OFFICE OF ENVIRONMENTAL JUSTICE - MC 2201A
Mustafa Ali 202-564-2606 F: 202-501-0740
OFFICE OF GENERAL COUNSEL - MC-2322-A
Jeff Keohane 202-564-5548 F: 202-564-5541
OFFICE OF INTERNATIONAL ACTIVITIES - MC-2610R
Wendy Graham 202-564-6602 F: 202-565-2408
OFFICE OF POLICY, ECONOMICS & INNOVATION - MC-1807T
Katherine Dawes 202-566-2189 F: 202-566-2211
Daria Willis 202-566-2217 F:202-566-2200
USEPA, REGION 6
Shirley Augurson 214-665-7401 F: 214-665-6648
Sunita Singhvi 214-665-7290 F: 214-665-6648
Fountain Place, 12m Floor
1445 Ross Avenue, (RA-D)
Dallas, TX 75202-2733
USEPA, REGION 7
Althea Moses 913-551-7649 F: 913-551-7941
901 North 5"1 Street
(ECORA)
Kansas City, KS 66101
OFFICE OF PREVENTION, PESTICIDES &TOXIC SUBSTANCES
- MC-7101M
Elaine Lyon 202-564-0547 F: 202-564-0550
OFFICE OF RESEARCH AND DEVELOPMENT - MC-8103R
Brenda E. Washington 202-564-6781 F: 202-565-2912
OFFICE OF SOLID WASTE AND EMERGENCY RESPONSE
- MC-5101T
Kent Benjamin 202-566-0185 F: 202-566-0202
OFFICE OF WATER - MC-4102T
Alice Walker 202-564-0498 F: 202-529-7534
USEPA, REGION 8
Elisabeth Evans 303-312-6053 F: 303-312-6409
999 18th Street, Suite 500
Denver, CO 80202-2405
USEPA, REGION 9
Rachel Loftin 415-972-3795 F: 415-947-3562
75 Hawthorne Street
San Francisco, CA 94105
USEPA, REGION 10
Michael Letoumeau 206-553-1587 F: 206-553-7176
Victoria Plata 206-553-8580 F: 206-553-7176
1200 Sixth Avenue (CEJ-163)
Seattle, WA 98101
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Pollution Prevention
Case Studies
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Houston Pollution Prevention Project
Houston, Texas
Channelview, Texas, November 14, 2000- A group of East Harris County residents, and
Lyondell Chemical Company and Equistar Chemicals, LP, today released a report on a
three-year project that has resulted in the significant reduction of chemical emissions from
the two plants.
The Source Reduction Project, conducted jointly by Channelview residents, community
advocates, members of the Community Advisory Panel to Lyondell and Equistar (CAPLE)
and the two Channelview plants, focused on the elimination of emissions at their sources
within the plants. At the Lyondell facility, changes to the operating procedures and
processes and the addition of process equipment as a result of the project reduced
emissions of volatile organic compounds about 15,600 pounds per year, nitrous oxide by
11,600 pounds per year and carbon monoxide by 60,000 pounds per year. Technology
improvements to the ethyl benzene unit were underway at the inception of the source
reduction project. Installation of citizen-recommended sampling equipment showed that
benzene sent to the flare was reduced by 2,058,000 pounds per year. Actual benzene
emissions to the air were reduced 40% or about 40,000 pounds per ^ear.
From the extensive study and hands-on examination and evaluation of plan operations, the
group developed seven goals that would be pursued. Each of the goals either was reached
or significant progress was made toward resolution.
The goals were to:
Reduce emissions to promote a cleaner and healthier environment.
Focus on source reduction, rather than waste minimization, starting with an
overview of all processes and possibilities for reductions
Assure continuous improvement in plant operations
Develop agreement on what issues to pursue enhance community understanding
of plant operations relating to source
Reduction develops a model for dealing with other issues.
Concurrently discuss timely plant operations issues while maintaining overall focus
on source reduction.
Diane Sheridan, who facilitated the project, terms the project a success because the group
accomplished specific goals." The plants have responded to specific citizen requests with
specific actions. Relationships between community and plants have grown and will continue
to grow. A model for working on source reduction has been developed and it can be used
by other communities and plants," Sheridan said. "All this took commitment, candor, time,
persistence and a whole lot of give-and-take. It has not always been easy, but it definitely
has been worthwhile".
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Park Heights Community Project
Baltimore, Maryland
The Park Heights community of Baltimore City, Maryland has an area of concentrated
commercial auto body shop activities. The community has expressed concerns that these facilities
are possible sources of environmental pollution that adversely impact public health. According to
Envirofax database, there were at the beginning of this project approximately 150 facilities in this
geographic area. By their nature, many of these small businesses are not currently captured in the
Maryland Department of the Environment's (MDE) permitted/regulated facilities databases. MDE
and EPARegion NTs Office of Compliance, Enforcement and Environmental Justice (OECEJ) are
working together to address the problems auto body shops present in this community through an
integrated strategy. In addition, EPA's Office of Compiiance has provided three grants to provide
funding for this project, which have now been rolled into one for a total of $275,000.
This project proposes to 1) identify the universe of facilities in this geographic area; 2)
conduct inspections at a statistically valid number of randomly selected facilities to obtain a
compliance rate for this sector in this particular area; 3) provide compliance assistance and pollution
prevention outreach to the entire universe of auto body shops in Park Heights; 4) conduct a self
certification program; and 5) measure the results of the compliance assistance efforts. Region Ill's
OECEJ has inspectors are conducting approximately 46 inspections, and OCEJ staff will be
providing assistance in coordinating the compliance assistance efforts and the assistance and
expertise of the Region's Environmental Justice Coordinator in working with the community groups.
OECEJ, Headquarters and MDE have met to conduct instruction to develop this integrated
strategy. MDE has received a myriad of tools from Headquarters, the Region and other states to
implement this program which include: how to determine a statical number of facilities to be
inspected given the number of facilities in the universe, inspection checklist (with input from OECEJ
inspectors), Environmental Business Performance Indices (EPBI) which are indicators that will be
measured next year, Self-Certification forms for the auto body shops to complete and return to MDE
as a notification form and certification of compliance with environmental regulations.
MDE has put a considerable amount of time and effort into revising the inspection checklist
and developing the EPBIs. The inspection checklist had to be revised to meet the needs of the
Maryland ERP and to satisfy the needs of the MDE State enforcement requirements as well as
meeting the concerns of the community association. The EPBIs have been written to go beyond
the P2 and workplace issues. Again, MDE wrote their EPBIs to accommodate the concerns of the
regulators and the community group.
The community group working with MDE has geocoded the auto body shops in Park Heights.
Geocoding involved identifying the auto body shops in this geographic area along with the longitude
and latitude. At the conclusion of this exercise MDE had an accurate number of auto body shops
in this geographic area. MDE learned several lessons at the completion of this phase of the project.
Defining the sector and what shops fit into this sector was more difficult than when they first
embarked on this project. They found that the operations could be defined into two types of
processes: auto repairs, and auto body repairs and/or both. For purposes of this project both types
of auto body operations are included in the universe of auto bodyfacilities. They also determined
that there actually 57 auto body shops in this geographic area not 150.
As a result of the findings in this first phase, MDE is contemplating doing two compliance
assistance workbooks: one for auto body repair shops and one for auto repair shops. They are also
-------
considering two self certification forms in the same format to make it more user friendly to shop
owners to complete.
As of July, 2002 MDE has completed the inspection checklist including identifying the EPBIs
and compliance related questions to be used for the measurement and statistical analyses.
Approximately 30 inspections will occur this month to develop the baseline of compliance for the
auto body shops in Park Heights. MDE has completed the first draft of the compliance assistance
workbook that will be distributed to the trade association for feedback. The Self Certification form
is in development at this time.
Compliance Assistance is scheduled to begin in September 2002 and continue until July
2003. Follow up inspections should occur in July 2003.
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Business Practices
Study
-------
Report Not
Available at
Time of Printing
-------
General Guidelines for
All Public Comment
Sessions
-------
NATIONAL ENVIRONMENTAL JUSTICE ADVISORY COUNCIL
Guidelines for Public Comment Sessions
The purpose of the public comment sessions is to allow members of the public to have the
opportunity to speak directly to the NEJAC about environmental justice issues as it relates to
the meeting policy issue.
What is the purpose of the NEJAC's public comment session?
There will be one public comment period on Tuesday, December 4, 2001, from 7:00 - 9:00 p.m.
The Federal Advisory Committee Act rules apply during this session. Therefore, the public
has only 5 minutes to speak in front of the NEJAC. There can be no audio-visual use
during the public comment period.
Who can give public comment?
Anyone can give formal public comment, either as an individual or as a representative from a
specific organization. The NEJAC will NOT, however, hear public testimony from members of
the NEJAC Executive Council. Members of the NEJAC may respond briefly to testimony,
primarily for the purposes of clarification.
How is the order of speakers determined?
The following criteria are considered in determining the order of commenters for each public
comment session:
Time of request - Speakers are chosen on a first-come, first-serve basis in most
instances. For example, commenters who pre-register will be chosen to speak before
those who register on the day of the meeting
Affiliation - One representative from an organization versus multiple representatives
from the same organization.
How is the comment process conducted?
The NEJAC takes its responsibility to listen to and learn from the public very seriously, and thus
tries to make the comment process as fair and respectful as possible. However, at the same
time, the public comment period must follow Federal Advisory Committee Act
procedures. For this reason the comment process will be conducted as follows:
At each comment session the Chair of the Council will begin by calling on those who
have signed up in advance to speak.
The Chair of the Council will clearly explain the ground rules for making public comment
at the start of each session.
Comments are limited to no more than five minutes per individual.
It is essential that each commenter concludes with specific advice and/or
recommendations for the NEJAC to consider when deliberating.
Members of the NEJAC will only respond to comments to request clarification or to
reinforce issues raised during the public comment period. Members of the NEJAC will
-------
limit their responses to under two minutes, in order to assure that the public receives the
maximum amount of time available in which to make comments.
Can I bring issues to the Council if I do not want to speak or cannot attend the meeting?
For those who cannot attend the meetings or do not wish to speak, a written statement can be
submitted to be read for the record during the meeting or added to the record after the meeting.
Are written materials required?
Commenters are requested to bring written materials when speaking to the NEJAC, and are
encouraged to submit any background materials they feel will help the Council better understand
their issues. Please prepare to bring 40 copies of your documents to be distributed to
Council members.
Will there be any feedback or follow-up to my comment after the meeting?
Members of the Council and/or staff from federal agencies may give a response to an issue
raised at the meeting. If the NEJAC deems it appropriate, it may recommend EPA staff who
should be assigned to address or follow-up on issues raised during the comment sessions.
Keep in mind:
The NEJAC enforces strict time constraints upon speaking time to ensure fairness, for
this reason it is recommended that individuals prepare a written statement for the
Council. Written statements can be detailed and lengthy, however public testimony must
be confined within the allotted five minute time frame.
The public comment period is not a question and answer period and will not be
interactive.
• It is recommended that commenters prepare testimony in advance in written form, and
then read this testimony during the comment period. 40 copies of testimony should be
provide for the NEJAC.
The Council will not extend the allotted speaking time. Therefore, commenters must
paraphrase lengthy testimonies so that they will fit into the allotted five minute time frame.
Their full written testimony will be incorporated into the transcript of the meeting.
The public comment period is a time for members of the public to make a brief statement
about their issue of concern. The public comment period is not intended to be a forum for
making lengthy presentations about an issue of concern.
What is the protocol for speaking at a subcommittee meeting?
The NEJAC subcommittee meetings are open to the public, but the public can not participate in
the discussions unless they are on the agenda. If you wish to have your issue placed on a
subcommittee's agenda, or to make a presentation, you must contact the Designated Federal
Official (DFO) of the subcommittee
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SAMPLE SPEAKER'S
TEMPLATE
Name of Speaker: Ms. Jane Doe
Name of Organization: ABC Community Organization
Address/Phone/Fax/Email: 1234 Street, Anywhere, USA
Description of Concern:
The ABC river in my community has had fish advisories posted for some time now
because industry has been polluting the river for years. This body of water is critical to my
survival and that of my family. For generations, my family has depended upon the fish in
this river as its primary source of protein. On average, we eat fish from that river about 4 to
5 times a week. We live on the land, and therefore, any contamination to this major part of
our environment has a direct negative impact on my community's quality of life and health.
What is your desired outcome from attending this meeting?
(Try to answer in brief statements.)
My community requests that the NEJAC provide specific advice and recommendations to
the EPA on how to effectively set water quality standards to protect the fish and my family,
who rely on that fish for food. These recommendations can come in the forms of further
technical analysis and remediation of the water quality of the river to the promotion of
innovative public outreach tools.
Do you have recommendations on how your community's problem could be
addressed?
(Try to answer in brief statements.)
One way to address the concerns of my community would be to immediately commence a
workgroup that would develop a plan for working together with the States and Tribes to
enhance and improve the water quality criteria and standards program of the ABC river, or
others like it.
How is your concern directly related to this focused public policy issue meeting?
My community's concern is very relevant to the issue of this meeting. We are a very small
community dependent on the resources that are readily available within our environment.
This meeting is about the relationship between water quality, fish consumption and
environmental justice. We submit that the our concern of the ABC river fits very well with
this topic. Our survival is dependent upon the ultimate health of the ABC river.
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Written Comments
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2636 E. Federal Street
Baltimore, MD 21213
(410) 732-1123
ucerc@netzero.com
Urban Convruwity Envimninental Resource Center
Date: 11/28/02
Name: Don Norwood
Address: 2636 E. Federal Street
City & State Zip: Baltimore, MD 21213
The following is testimony regarding the Alternative Aggregate Recycling Company
BAR located at 1030 Edison HWY. Baltimore, MD 21213.
List your observations of environmental hazards:
1. The mountains of dirt were taller than the houses in the area (3 stories high.
2. On Edison Hwy, the trucks blow the dust in the air as they enter and leave.
3. Dust and sand are so thick at times you cannot help breathing it in.
4. Sand particles blown by truck passing entered my friends eye and his eye and his face swelled up
like he had a bee sting or been hit with a bat. There was physical reaction to something in the
particles too.
Preventative action measures taken:
1. We have joined the community-based environmental advocates, to be counted in the fight.
2. We have circulated petitions in the community and conducted a health hazard survey.
3. Educated myself about particulates and the federal and state standards, and joined an EJ group.
4. Helped to form the Urban Community Environmental Resource Center to provide a central point
of contact for education and information and provide technical resources to support the issues.
List the changes needed to improve the citation
1. The polluter should move the operations to another location.
2. The property could be a business park with the proximity to Edison Hwy and the Railroad.
3. Ideal place for a train station and business park — road improvements provide direct route to
Hopkins and beyond.
4. Community-based monitoring program to help enforcement when violations occur. The
community is compensated for the environmental hazards they are being exposed to by BAR.
Our community organizing action efforts have made a difference.
This is an environmental hazard to my community and we want the pollution stopped.
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FOR IMMEDIATE RELEASE
Contact:
Don Norwood
2636 E. Federal Street
Baltimore, MD 21213
(410) 732-1123
ucerc(a)netzero. net
STOP DUMPING ON US NOW. ALTERNATIVE AGGREGATE RECYCLING BAR
BALTIMORE -November 26, 2002
Residents of East Baltimore - many residents being affected are seniors and children
suffering chronic respiratory illnesses. The cause of this environmental hazard is the
Alternative Aggregate Recycling BAR company operating huge land movers and rock crushers.
The Baltimore air currents distribute these particulates of dust for miles. The community most
affected by the pollution is the residents in the Kenwood community who live adjacent to the
facilities fence line. The mounds of debris have been four stories high able to be seen for miles
around. The residents have organized a community based environmental justice committee
charged with the mission of stopping the pollution form the Alternative Aggregate Recycling
BAR.
Community activist from the Kenwood plan to testify before the National Environmental Justice
Council and inform the EPA about the environmental issue and present measures already taken
to prevent further air pollution form this facility. Mr. Russell Stewart President of the Kenwood
Community Association will present the case at the NEJAC national meeting in Baltimore,
December 9, 2002
History
April 2000 Mr. Russell Stewart the president of the Kenwood Community Association wrote a
letter to the governor Glendening reporting potential pollution from the BARC on Edison Hwy in
Baltimore, Maryland. The letter outlined that residents have noticed dust deposits on clothes and
cars. Some residents complained of chest and allergy irritation in the air. Mr. Stewart raised the
issue at the Kenwood Community Association meeting in March 2001. The community
supported a resolution to address the issue.
In late February 2001, Mr. Stewart consulted with Michele Brown and Lucile Gorham two
environmental activists working in East Baltimore. Michele recommended Mr. Stewart should
pursue the issue through a community action committee. Michele Brown composed a letter to
the Governors office to request a written reply to Mr. Stewarts original letter, and the reply
suggested that the matter had been handled by others. Michele sought the advice of a consultant
who had some experience with air pollution and air quality litigations. Mr. Gus Jackson was
contracted to offer technical assistance to the community and leadership. Michele mailed out
invitations to Mr. Stewarts membership list to gather residents and discuss the issue of concern.
Mr. Jackson provided technical assistance at the meeting-and insight on how we could take
action to change the environmental hazards. ^—\y—
-------
Building capacity from within the community was the charge of Michele Brown and Mr. Russell
Stewart as they distributed flyers, and interviewed residents to rally to join the Environmental
Health Hazards Forum (One Voice). Meetings were held twice per week for four months while
training and information was delivered our forum of residents. Committees and sub-committees
were formed to do the work of raising the awareness of the other community members and the
surrounding areas as well. With the help of Mr. Jackson, the group arrived at the decision to
pursue a class action suite against the state of Maryland for violations of the Clean Air Act. Mr.
Jackson was able provide evidence to support violations of the clean air act and a plan of action.
It was time for the press to be informed now that the forum was organized and educated Michele
and Gus banged out a press release about our issue. Several demonstration events and press
conferences were staged over the next three months. In June 2002, the Community Law Center
was appraised of the community issue and solicited for service. The Health Hazard Forums
continued in to July 2002 and the meetings had taken on a more sophisticated look and structure.
Speakers and experts were invited to address the group and offer insight on options and tactics.
Judge Cathell famous in lead hazard reform rulings visited and spoke briefly about
environmental hazards and the lack of public concern and awareness. Our own Nathaniel
McFadden addressed the members and offered support in cleaning up the issue soon. Mr.
Andrew Sawyers of the Maryland Department of the Environment visited on several occasions
and re assured us MDE would look in the matter and bring some resolution.
Michele Brown was determined that the issue would not get swept under rugs or what ever
happens when time drags on and people are suffering. A study being conducted by MDE of the
air quality in and around the facility identified. The study has gone on for more than six months
and we still have no results. Michele organized a petition in and effort to get recognition as this
was an election year and signatures are well regarded. The community response was
outstanding. The One Voice Coalition distributed the partitions and gathered them in a three-day
span. It was discovered that the BARC had applied for a permit to MDE to expand their
operations and install additional crushers. The partitions arrived during that period before the
permit was issued.
"Chalk one up" for community based action planning. The BARC Company changed their name
and withdrew their permit for expansion. Later in August 2002 BARC decreased their crushing
operation and hauling by 25%. This decline was absolute and verifiable by a decrease of dump
truck activity and the low key demure of the company's day-to-day activities. The name
changing is suspect in it's own right. The resident are not being fooled by this tactic. Michele
suggested establishing the .'Urban Environmental Resource Center within the pollution zone as a
central point of communication.
The development of the Urban Community Environmental Resource Center has brought
leadership and empowerment to the residents of the Kenwood community. Michele sought
funding from the Annie E. Casey Foundation to establish the Center. As an environmental
justice advocate, Michele wanted a resource center that would address any environmental hazard
threatening this community.
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21a Social securitv oenefits i_2UU 21b Taxaoie amount (see oage 18)
22 Other income Hist tyoe ana amount—see oage 19)
23 -oa tne amourts srown m -re tar nam ;oiumn tor wes 7 rrouan 22 Tlvs is vour total income ~
jJQL
8a i SL. Jto5
10 I
11
12 i 33, 2.QST
!_13J
i 14 I
, 18 I
' 18b I '
! 17b I
1 18 i 3j3H-Q
! ,19 I
20 I
I '
¦ ,21b l
' 22 I
23 I
Adjustments
to Income
5ee cage 19)
24a ''cur iRA oeauction trcm aconcaoie worxsneet on oage 20 or 21
b Soouse s iRA oeouction trom aooncacie wornsneet on oage 20 or 21
23 C"e-nai( of seif-emoioyment tax isee oage 211
26 :H-emoiovea r.eaitn insurance Deduction tr:rr .vornsneet on cage 22
27 Keogn retirement Dtan ano seif-emoioyea SEP ceduction
23 3enaitv on eany witnarawai ot savings .
29 -,.monv oaio flecioient s SSN ~
30 -ad lines 2-ta tnrouon 29 T^ese are vour total adiustments
24a
24b l
25
28 l
27
28' i
29 I
0
Adjusted
Gross Income
31 :„otract ure jO trom une 23 Tkis is vour aaiustea qroee income, it :ms amount is ess tnan
S21.250 ana a cnna iivea w/rn you. see oage *5 10 nno out it you can ciaim tne Eamea income
Zreait" cn une jf ~
' 31
5^1 +
Cat No ,12598V
-------
".r— 'Q40 1199'I
Tax
Compu-
tation
"t you want
•re iRS to
figure your
rax. sea oage
24.
32 Amount from nne 31 (adiusted gross incomei
33a Cnecx if L_ You were 65 or oiaer. lj Blind: l_ Sqoum was 65 or oiaer. lI Blind.
Add the numoer of ooxes cneckea aoove ana enter tne total here • ~ 33a
b if your parent (or someone etsei can claim you as a deoenaent. check hem ~ 33b Q
33c ~
34
35
38
37
38
39
40
c if you are mamea filing a seoarate return ana your soouse itemizes deductions,
or you are a auai-status alien. see oage 23 ana cnecx nere - • • ¦ ~
' Itemized deductions (from Scneauie A. line 26). OR
Standard deduction isnown oeiow for your filing status). Caution: If you
crecKea any oox on una 33a or o. go to saga 23 to find your standard
reduction if you enacted box 33c. your standard deduction is zero.
• Smgte—S3.400 e Head of housenoid—$5,000
• Married Ming jointry or Qualifying widowteo—$5,700
• Mamea tiling separately—$2,850
Subtract line 34 from line 32 .....
Enter
the
larger
of
your.
if ime 32 is $75 000 or >ess. muitioiy $2,150 by tne total numoer of exemptions Claimed on
line 6e. if line 32 i$ over $75,000. see page 24 for tne amount to enter
Taxable income. Subtract line 36 from line 35. (It line 36 is more than line 35. enter -0-.) .
Enter tax. Check if from a p3\J"ax Table, b D Tax Rate Schedules, c O Schedule 0.
or d G Form 8615 (see oage 24> (Amount, if any, from Form I M !
81 I
if line 53 is more tnan nne 60. suotract line 60 from nne 53. This is tne AMOUNT YOU OWE.
Attacn cneck or money order tor full amount oayaoie to 'internal Revenue Service." Wnte your
name, aoo-ess social security numoer. oavtime onone numoer. ano "1991 Form 1040" on it.
Estimated tax penalty (see page 28) Also mciuoe on nne 64 I 68 I I
62 I
M
84
3\°)
Sign
Here
cu> 'bfaber*-. crw>u
£;ousjj Signature n' ioint return BOTH must sigm
¦ V.
Oat« 5COUMSQP
3-/-9A fiXr
Scouse s qccuoaten
Paid
Preparers
Use Only
P'eoa/r %
s>qnaturt
~
Oat«
s*f-tmo«Ov«c
P"eoare< 5 social secunw no
- rm s nam® iOf vOufi
• se«t-e^ON3vwi ano
-lqqress .
~
E I No
ZIP coae
'UlUgnimiiM Ptmn»0Wo« lMv— £80-033
-------
SCHEDULES A&B
(Form 1040)
of rr* Tf#u*jv
^•m*i S«rvc« -
Schedule A—itemized Deductions
(Schedule B is on back)
*¦ Attach to Form 1040. ~ Sm Instructions (or Schedules A and B (Form 1040).
0MB Mo. 1545-0074
91
Attacflmem
Saouanca No. 07
Namwsi snown on Form '040
Your tocMi Mcwity number
Medical Caution: Do not include expenses reimoursea or ona Oy otters. ,
and 1 Medical ana dental expenses. (See page 38.). . . L_^
Dental 2 Enter amount tronn form 1040 line 32 ! 2 I
Expenses 3- Multiply ime 2 above oy 7 5% (.075) . ... ' 3 I
4 Subtract line 3 from ime 1 Enter tne result, if less than zero, enter
Ml
¦0-
£
Taxes You 5 State ana local income taxes
Paid
(See
page 381
6 PeaJ estate taxes . .
7 Other taxes. (List—include personal property taxes.) >
3 Ada lines 5 throuqn 7 Enter tne total
6 I
3,340
I
3,24O
Interest
You Paid
(See
page 39 )
Note:
Personal
interest is
no longer
deducticie
9a Home mortgage interest ana ooints reoortea to you on Form 1098
b Home mortgage interest not reoortea to you on Form 1098. (If
paid to an inaividuai. snow mat Derson s name ana aaaress.i ~
9a +
10 Points not reported to you on Form 1098. (See 1
instructions for special rules.) l
11 investment interest (attacn Form 4952 if required). (See
page 40 ) . t
12 Add lines 9a tnrouqn 11 Enter tne total- ....
10
11
~ I 12
J20i±.
Gifts to Caution: if you made a charitable contribution and
Charity received a benefit m return, see page 40.
(See 13 Contnbutions Dy cash or cnecK ....
page 40 ) 14 other tnan casn or cnecK. (You MUST attacn Form 8283
if over S500 )
15 Carryover from prior year
16 Add lines 13 throuqn 15 Enter tne total
900
Casualty and
Theft Losses 17
Casualty or theft lossiesi (artacn Form 4684) (See oage 40 )
17
Moving
Expenses
18 Moving expenses lartacn Form 3903 or 3903F) (See oage 4i
~ I 18 I
Job Expenses 19
and Most Other
Miscellaneous
Deductions 20
(See
page 41 'or
expenses to
aeauc; nere i 21
22
23
24
Unreimbursed employee expenses—100' travel, union
dues. 10D education, etc. (You MUST attacn Form 2106
if required. See instructions 1 ~
Other expenses (investment tax preparation, safe
deposit Pox. etc.) List type ana amount ~
Add lines 19 and 20
Enter amount from Form 1040. ime 32.
21
i 22
23
Multiply line 22 above by 2% I 021
Subtract line 23 from line 21 Enter tne result. If less than zero, enter
Other (from list on page 41 of instructions). List type and amount ~ LM\tt(IU~.
...cLu£^..u^<-^flrrYva
£
Other 23
Miscellaneous
Deductions
25
QH-O
Total
Itemized
Deductions
26
• if the amount on Form 1040. line 32. is $100,000 or less (S50.000 or
less if married filing separately), add lines 4 8, 12. 16, 17. 18. 24, and
25. Enter the total here.
• if the amount on Form 1040. line 32. is more than $100.000 (more than
$50,000 if marnea rung separately), see page 42 for tne amount to enter..
Caution: 8e sure to enter on Form 1040. line 34. the LARGER qf tne
amount on line 26 above or your standard deduction.
For.Ptp^ixof*Reduction Act Notice, sati Form 1.040 injunctions.
Cat. No 12611P
Schedule A (Form 1040) 1991
-------
icreauies *43 iFo'~n SO • S91
'¦ameisi s.*c*n on rO'Ti ic-so >Z
V0 No ' 5-5-0074
- 109
~a.-e irz ::. 2 ir;_
Your social s«cuntv numow
Schedule B—Interest and Dividend Income
Artacr
S»qu«
)8
Part I
Interest
Income
See
rages ;5
ana 43 i
If you received mora than S400 in taxaole interest income, or you are claiming the exclusion of intt nt
senes EE U.S. savings bonds issuea after 1989 (see page 43), you must complete Part I. List ALL interest received
in Part I. If you received more than $400 in taxable interest income, you must also comolete Part III. If you received,
as a nominee, interest that actually belongs to another person, or you received or paid accrued interest on securities
transferred between interest payment dates, see page 43.
interest income
Amount
1 interest income. iList name or oayer—
-------
SCHEDULE C
(Form 1040)
Seoartrne^t *re "-eascrv _
:em*i fleve^ue Se^v See Instructions for Schedule C (Form 1040).
CM8 No 15J5-00
91
Attachment
Seoueoc* No (
Name or orconeux
"Resell I. Ta-rvk—
Social ncurity numoar (SSN)
A Principal ousmess or profession including product or service (see instructions)
(3aScrCi r\J_ s CJL S"/"CUfS0TA—
B Enter pnnctpal business coc
(frompage2)*|3|5|S
C SuS'^GSS nam© — — ,
"T(xnk.'£> fcuJJL or oasourvfi—
D Employ«r ID numMr (Net SSM
M I I ! I I
E Business aadress (including suite or room no.) ~ ..
Citv. town or Dost office, state, ano ZIP code AI tfOrd. , IA
F
G
Accounting method:
(1) Lj Casn (2) ^24, Accrual (3) G Other (specify) ~
Lower of cost Other (attach
Method(s) used to __ Lower of cost other (artacn Does not apply (if
value closing inventory: (1) ~ Cost (2^S^ or market (3) U expianationi (4) ~ checKed. skip line H)
'.Vas mere any cnange in aetermmmq Quantities costs, or valuations -?tween ooening ano dosing inventory7 (It "Yes.1 attach explanation.)
Did vou materially oarticioate m tne ooeration ot tnis Business during 1991' (II 'No." see instructions lor limitations on losses.) . .
if 'his is the first Schedule C Med tor this business, check here ^
Yes 1
E
I
Part I
Income
1 Gross receipts or sales. Caution: it tms income was reoortea to you on Form W-2 ana the
¦Statutory emoioyee 1 0ox on mat form was cnecxea. see tne instructions ana cnecK nere
2 Returns ana allowances ...
3 Subtract line 2 from line 1 "...
4 Cost of goods sold (from line 40 on oage 2) ' . .
5 Subtract line 4 from line 3 and enter the gross profit here
6 Other income, including Federal ana state gasoline or fuel tax credit or refund (see instructions).
7 Add lines 5 and 6 This is your gross income ...
Part II
~
1 i 2.240,23-*
SL
a.3n+0. SLlfr
493.. s 5
SL
^3.85
Expenses iCaution: Enter expenses for business use of your home on line 30.)
8 Advertising
9 Bad deDts from sales or
services isee instructions!
10 Car ano truck expenses (see
instructions—also attacn
Form 4562) . ...
11 Commissions and fees.
12 ¦ Ceoienon
13 CeDrecianon ana section 1 rg
exoense aeauction mot included m
Pan mi (see instructions).
14 Employee oenefit programs
-otner inan on line 19)
15 insurance (other than health) .
.16 interest:
a Mortgage ipaia to oanns. etc i
b Other. ....
17 Legal ana orolessionai services
18 Office expense
19 3ension ana Drolit-snarmg plans .
20 Pent or lease isee instructions)
a vetuctes macnmerv ana eauioment
b Other pusiness property
K.teo I
10 i
11
21 Repairs and maintenance .
22 Supplies (not included in Part III).
23 Taxes and licenses. ...
24 Travel, meais. and entertainment'
a Travel
54,/as
12
b Meals ana
entertainment
13
4,lis
14
59(o
15 I
1-1 H-9 5^
| 16b 1
17
c Enier 20% ot line
240 SUDiect to
imitations isee
mjtructionsi .
d Subtract line 24c from line 246
25 Utilities
26 Wages (less |ODs credit)
27a Other expenses (list type and amount)
18
19 I
20a i
20b I
i 27b Total other expenses .
bH . &3.Q '
28
29
30
31
32
Aad amounts m columns for lines 8 througn 27b. These are your total expenses before expenses for
business use of your nome . - ~
Tentative profit (loss). Suotract line 23 from line 7 ....
E^oenses for ousmess use of your nome (attach Form 8829) ....
Net profit or (loss). Subtract line 30 from line 29. If a profit. e_,er here and on Form 1040. line 12. Also
enter the net orofit on Scneouie SE. line 2 (statutory employees, see instructions). If a loss, you MUST
go on (o line 32 (fiauciaries. see instructions! .
f vou nave a loss, you MUST check the oox that descrioes your investment in this activity (see instructions) ¦.
if you cnecKeo 32a. enter the loss on Form 1040. line 12. and Schedule SE. line 2 (statutory
empiovees. see mstructic.isi if vou checked 32b. you MUST attach Form 6198. 1
28
29
3g".«a 08"
30 I
_ZL
31 I Jfr.aoS' '
32a U All investment is at n
32b U Some mvesimeni is not
For Paperwork Reduction Act Notice, see Form 1040 instructions.
Cat. No. 11334P
Schedule C (Form 1040'
-------
-ice 2
Part III
Cost of Goods Sold iSee instructions.)
33 -ventorv at oeginnmg of year iir different from last year s Closing inventory, artacn explanation i
34 P jrcnases less cost of items wnnarawn for personal use
35 Cost of laDor. (Oo not include saiary oaia to vourseif)
36 '.'atenais and suopiies
37 Ciher costs
38 Aaa lines 33 througn 37 ...
39 inventory at end of vear. .... . . .
40 Cost of goods sold. Subtract ne 39 from line 38 Enter the result here ano on page 1 ime 4
Part IV
JU '
34 i 1 > I 5 . 33^-
35 i ,on
36 I -
>,34
37
<3-1 ^
38 I
39 I
* i
Principal Business or Professional Activity Codes
Locate me maior category tnat Pest aescrioes your activity. Within the maior category, setect the activity coae that most closely identifies tne
business or orofession that is the ormcioai source of your saies or receipts. Enter this 4-digit code on page 1. line B. For examoie. real estate
agent is unaer tne maior category of "Rial Batata,' ana tne coae is "5520." /Note: if your onnaoat source of income is from farming activities, you
inou/a hie Schedule F (Form 10401. Profit or Loss From Farming.)
Agricultural Services,
Forestry, Fishing
Cods
990 Animai services, other man
creeoinq
933 C'oo services
;• - 3 c3rm laoar A management
services
."246 P'snrra commercial
_;3e Fcestrv e«ceot ioaamg
3212 Horticulture 4 lanascaomq
3-69 Huntma 4 traoomg
5 74 Livestock oreeomg
3336 Loogmg
'358 Viiennarv services mciuama oets
Construction
0018 Ocerative ounaers itor own
accounti
Building Trade Contractors. Including i
Reoair*
0414 C-'oentennq 4 ^coring
0455 Concrete worx I
0273 Eiectncai worn !
3299 Masonry dry wail, stone 4 tile
0257 Painting 4 oaoer nangmg
0232 Piumoing neatmo 4 air conoitionmg i
0430 Pooling s.ama 4 sneet metal
0885 C.~er ounoing trade contractors
excavation giazing etc i
General Contractors
3075 M'cnwav 4 street construction
3059 Nonresident ai ou'idmg
".034 Pesiaentiai ounoma
'.389 O'rer neavv construction ioiDe
avinc or age construction etc i ;
Finance, Insurance, 4
Related Services ;
^064 Brokers 4 aeawrs or securities
•;080 Commooitv contracts oroKers &
oeaiers secuntv 4 commoaity i
•ixcnanqes j
5148 Creait institutions & mortgage
oankers j
5702 Insurance agents or Brokers
5744 insurance services (aooraisal.
consulting nsoection etc)
5130 nvestment advisers 4 services
5777 jtnef 'manctai services 1
Manufacturing, Including ,
Printing & Publishing
3679 Aooarei 4 otner textile oroducts i
'"15 Eiectric A electronic eauioment
'0 73 FaDncated metal oroducts
3638 Food oroaucts 4 oeverages
3810 Furniture 4 fixtures I
3695 Learner footwear. nandoags. etc I
3836 Lumoer 4 otner wood oroducts
'099 Macnmerv 4 macntne snoos
3877 Paoer 4 allied oroducts
•057 P'imarv metai industries ,
3851 P"nting 4 Duousning ;
'032 Stone cav 4 giass oroducts
3653 Textile mm oroaucts
' 883 Otner manutactunng moustnes
Mining & Mineral Extraction
'537 Coal mmina
'511 Metal mining
¦552 Oil 4 gas |
1719 Quarryma 4 nonmetaiiic mining |
Real Estate |
i 5538 Ooerators 4 lessors of Quildings. I
nciuaing residential j
5553 Ooerators 4 lessors ot otner real I
i orooerty ;
1 5520 Peal estate agents 4 Brokers
:579 Peai estate srooenv managers I
5710 SuDdivioers 4 aeveiooers exceot I
cemeteries i
5155 T tie aostract offices
Services: Personal,
Professional, & Business
Services
Amusement & Recreational Services
9670 Bowling centers
9688' Motion oiciure 4 taoe distnoution
4 allied services
9597 Motion oicture 4 video
orocuction
?«39 Motion Dicture theaters
3557 Physical fitness facilities
9696 Professional sodrts 4 racing.
nciuding oromoters 4 managers
9811 Theatrical oertormers. musicians,
jgents orooucers 4 related
services
9613 Video taoe rental
9337 Otner amusement 4 recreaticnai
services
Automotive Services
5813 Automotive rental or'easing.
¦vitnout anver
o953 Automotive reoairs. general 4
soecianzeo
3839 ParKing exceot vaiet
8896 Otner automotive services iwasn.
•owing etc I
Busmeaa A Personal Services
'558 Accounting 4 Oookkeeoing
7716 Advertising, exceot direct man
"682 Arcnitecturai services
8318 Baroer snoo lor oaroeri
91 to Beauty snoo tor oeauticiani
3714 Child day care
6876 Communication services
"372 Comouter orogramming,
arocessmg. aata oreoaration 4
•elated services
"922 Comouter reoair. maintenance 4
easing
7286 Consulting services
"99 Consumer credit reDortina 4
collect on services
8755 Counseimq lexceot neann
oracvcnersi
6395 Courier or oackage delivery
7732 Emoioyment agencies 4
oersonnei suDOiy
"518 Engineering services
7773 EouiDment rental 4 leasing
.exceot comout- or automotivei
3532 Funeral services a crematones
7633 -income tax oreearation
7314 investigative 4 orotective services
"517 Legal services ior lawveri
"356 Mailing, reoroauction commercial
art. onotograony 4
stenograonic services
7245 Management services
9771 Ministers 4 cnaoiains
3334 Pnotoqraonic studios
7260 Public relations 1
6536 PuDiic warenousinq j
7708 Sun/eymg services j
3730 Teacning'or tutonng j
6510 Trasn collection witnout own aumo i
6692 Utilities idumos. snowDiowing. !
road cleaning, etc.i I
7880 Other Business services J
6882 Other Dersonai services |
Hotels A Other Lodging Place*
7237 . Camos & camoing earns I
7096 -otets. motets. 4 tourist nomes i
721" -oming 4 ooaromg nouses
Launary 4 Cleaning Service*
7450 CarDet 4 uonoistery cleaning
7419 Com-ooerated Uunanes A dry
cleaning
7435 Fj«.service launorv dry cleaning.
4 garment service >
7476 Jamtonai & related services 1
iDuilding. nouse. 4 window
ciaanmgj
Medical A Health Services
9274
9233
9217
9456
9472
9290
9258
9241
9415
9431
3886
Chirooractors
Dentist's office or dine
Doctor's iM ~.) office or cnmc
Medicai 4 oentai laooratones
Nursing 4 oersonai care facilities' I
Ootomemsts !
Osieooatfiic onysiciars 4 surgeons I
Podiatnsts j
Regtsterea 4 oracticai nurses
Offices 4 amics ot otner neann
practitioners idieticians.
miowives soeecn oatnoiogists. ,
etc 1
Other neann services ¦
Miscellaneous Reoair. Exceot
Comouter*
9019 Audio eauioment 4 TV reoair
9035 Eiectncai 4 electronic eauioment 1
¦eoair. exceot audio & TV
9050 Furniture reoar 4 reuonoistery
2881 Otner eauioment reoair
Building, Hardware, & Garden Supply
4416 Building matenais dealers
4457 Hardware stores
4473 Nursenes 4 garden suooiy stores
4432 Paint, giass. 4 wanoaoer stores
Food 4 Beverage*
0612 Bakeries selling at retail
3086 Catering services
3095 Ormxing 0laces loars. taverns.
ouos. saioons etc 1
3079 Eating piaces. meats 4 snacxs
3210 Grocery stores igenerai unei
3251 L.auor stores
3236 Soeciauzea looa stores men
oroduce. cinov neaitn 100a etc 1
Furniture A General Merchandise
3988 Comouter 4 software stores
3970 Furniture stores
4317 Home fumishwgs stores icnma.
'ioor coverings, araoesi
4119 HousenoM aoonance stores
4333 Music 4 recoro stor»*
3996 TV audio & electroi
3715 Vanety stores
3731 Otner general mercnai
Miscellaneous Retail Store*
4812 Boat dealers
5017 Book stores excluding newsstands
4853 Camera 4 onoto suooiy stores
3277 Drug stdres
5058 Faonc 4 needlework stores
4655 Flonsts
5090 Fuel dealers lexceot gascnnei
4630 Gift novelty 4 souvenir snoos
-838 Hooov. toy. 4 game snoos
4671 Jeweirv stores
4995 Luggage 4 learner qooos stores
5074 MoOiie nome dealers
4379 Ooticai gooos stores
4697 Sooning goods 4 tucvcie snoos
5033 Stationery stores
4614 used mercnanoise 4 amiaue stares
exceot motor vemcie oartsi
5884 Other retail stores
Trade, Retail—Selling
Goods to Individuals &
Households
3038 Catalog or man order
3012 Selling door to ooor ov teieonone
or oarty Dian. or irom moone unit
3053 Vending macnine selling
Selling From Showroom, Store,
or Other Fixed Location
Apparel A Accessories
3921 Accessory 4 soeciaity stores 4
turners tor women
3939 Clothing tamiiv
3772 Clothing, men s 4 Doys
3913 Clothing, women s
3756 Shoe stores
3954 Other aooarei 4 accessory stores
Automotive i Service Stations
3558 Gasoline service stations
3319 New car dealers ifrancmseai
3533 Tire*, accessories. 4 Darts
3335 Useo car dealers*
3517 Other automotive dealers
(motorcvcies. recreational
¦ enicies. etc 1
" Trade. Wholesale—Selling
' Goods to Other Businesses, eti
. Durable Gooos, Including Machinery
I Equipment. Wood, Metal*, etc.
2634 Agent or oroker for otner tirms-
more tnan 50% ot gross saies
1 on commission
1 2616 Selling fdr your own account
Nondurable Goods. Including Food. .
Fiber. Chemicals, etc.
i 2675 Agent or oroker for other firms-
I more tnan 50% of gross saies
I on commission
1 2659 Selling tor your own account
Transportation Se
6619 Air transportation (
6312 Bus 4 limousine trai n
6361 Mignway passenger tra 1
¦exceot cnartereo servicei
6114 Taxicaos
6635 Travel agents 4 tour ooerators
6338 Trucking lexceot trasn couectioc
6551 water transoortation
6650 Otner transoortation services
3888 Unable to classify
tU S GPO 1991 0-285 174
-------
SCHEDULE SE"
(Form 1040)
Oeoenrrwi ot me Tr«m«y
interna Revenue Semee
Self-Employment Tax
~ See Instructions for Schedule SE (Form 1040).
~ Attach to Form 1040.
CMB NO 1545-01
11)91
Attachment
Sequence No. 1
Name of person witft self-employment income (as snown on Form 1040)
SociaJ secunty numoer of cierson
with sett-employment income >
Who Must File Schedule SE
You must file Schedule SE if:
• Your net earnings from self-employment from other than church employee income (line 4 of Short Schedule £
line 4c of Long Schedule SE) were $400 or more; OR
• You had church employee income (as defined in the instructions) of $108.28 or more;
AND
• Your wages (and tips) subiect to sociaJ security AND Medicare tax (or railroad retirement tax) were less than
$125,000.
Exception: If your only self-employment income was from earnings as a minister, member of a religious order, <
Chnstian Science practitioner. AND you filed Form 4381 and received IRS approval not to be taxed
those earnings, DO NOT file Schedule SE. Instead, write "Exempt-Form 4361" on Form 1040. line *
Note: Most people can use Short Schedule SE on this page. But you may have to use Long Schedule SE on the bac
Who MUST Use Long Schedule SE (Section B)
You must use Long Schedule SE if ANY of the following apply:
• You received wages or tips and the total of all of your wages (and tips) suoiect to social secunty, Medicare, c
railroad retirement tax plus your net earnings from self-employment is more than $53,400;
• You use either "optional niethod" to figure your net earnings from self-employment (see Section B, Part II, ar
the instructions);
• You are a minister, member of a religious order, or Christian Science practitioner and you received IRS appro
(by filing Form 4361) not to be taxed on your earnings from these sources, but you o.ve self-employment tax
other earnings;
• You had church employee income of $108.28 or more that was reported to you on Form W-2; OR
• You received tips suDieci to social security, Medicare, or railroad retirement tax, but you did not report
those tips to your employer.
- Section A—Short Schedule SE (Read above to see if you must use Long Schedule SE on the back (Section
1 Net farm profit or (lossi from Scneauie F iForm 1040). line 37. and farm partnerships. Scheaule
K-1 (Form 1065). line 15a ......
2 Net profit or (loss) from Schedule C (Form 1040), line 31. and Schedule K-1 (Form 1065). line
15a (other than farming). See instruct.ors for other income to report
3 Combine lines 1 and 2 .
4 Net earnings from self-employment Multiply line 3 by .9235. If less than $400. do not file
this schedule: you do not owe seif-emDloyment tax. Caution: If you received wages or tips, and
the total of your wages (and tips) suoiect to social secunty. Medicare, or railroad retirement tax
plus the amount on line 4 is more than $53,400, you cannot use Short Schedule SE. Instead,
use Long Schedule SE on the 0acn ~
6 Self-employment tax. If the amount on line 4 is:
• $53,400 or less, multiply line 4 by 15.3% (.153) ana enter the result.
• More than $53,400, but less than $125,000. multiply the amount in excess of $53,400 by
2.9% (.029). Add $8.170.20 to the result and enter the total.
• $125,000 or more, enter $10,246.60.
Also enter ttiis amount on Form 1040. line 47
Note: Also enter one-half of the amount from line 5 on Form 1040, line 25.
! 2 I 3 %, 2.08
a i 38,2ca
; 4 I 35,<285
5 I 5,311
For Paperwork Reduction Ac* Notice, see Form 1040 instructions.
Cit No. 113582
Schedule SE (Form 104
-------
Scnaouw S£ (Form '.C^Ol '99'
^rracnmem Seauence no. 17
Nam® or oerson witn satf-^moioymeni mesne ias snown on Form 10401
Social secunty numoer ot oerson i
with seif-ernpioytnent income ~ i
Section B—Long Schedule SE (Before completing, see if you can use Short Schedule SE on the other siaa
(Section A).)
A If you are a minister, member of a religious order, or Christian Science practitioner, AND you filed Form 4361, but y
had $400 or more of other net earnings from self-empioyment. check here and continue with Part I ~
B if your oniy income subiect to seif-emDioyment tax is church employee income and you are not a minister or a member
of a religious order, skip lines 1 through 4b. Enter -0- on line 4c and go to line 5a.
Part J
U
Self-Employment Tax
1
5a
5b"
I
Net farm profit or doss) from Schedule F (Form 1040), line 37. and farm partnerships. Schedule
K-1 (Form 1065), line 15a. (Note: Skip this line if you use the farm optional method. See
requirements in Part II below ana m the instructions.)
2 Net profit or (loss) from Schedule C (Form 1040), line 31. and Schedule K-1 (Form 1065). line
15a (other than farming). See instructions for other income to report. (Note: Skip this line if you
use the nonfarm optional method. See requirements in Part II below and in the instructions.)
3 Combine lines 1 and 2 .
4a If line 3 is more than zero, multiply line 3 by .9235. Otherwise, enter the amount from line 3 here
b If you elected one or both of the ootional methods, enter the total of lines 17 and 19 here .
c Combine lines 4a ana 4b If less than S400. do not file this schedule: you do not owe setf-employment
tax. (Exception: If less tnan $400 ana vou naa churcn employee income, enter -0- and continue.) ~
5a Enter your church emDioyee income tram Form W-2. Caution: See
the instructions for definition of churcn employee income
b Multiply line 5a by .9235. (If less man $100. enter-0-.) ....
6 Net earnings from self-employment. Add lines 4c and 5b
7 Maximum amount of combined wages and self-employment earnings subiect to social security
tax or tne 6.2% portion of the 7 65% railroad retirement (tier 1) tax for 1991 .
8a Total social secunty wages and tios (from Form(s) W-2) and railroad
retirement (tier 1) compensation
b Unreported tips subiect to social secunty tax (from Form 4137,
line 9) or railroad retirement (tier 1) tax
c Add lines 8a and 8b . .
Subtract line 8c from line 7 If zero or less, enter -0- here and on line 10 and go to line 12a ~
Multiply the smaller of line 6 or line 9 by 12.4% (.124)
Maximum amount of combined wages ana self-employment earnings subiect to Medicare tax
or the 1 45% portion of the 7 65% raiiroao retirement (tier I) tax for 1991.
Total Medicare wages ana tiDS (from Form(s) W-2) and railroad
retirement (tier 1) comoensation ...
b Unreoorted tips suoiect to Medicare tax (from Form 4137, line 14) or
railroad retirement (tier 1) tax . ... 11^b
c Add lines 12a and 12b . .
13 Subtract line 12c from line 11. If zero or less, enter -0- here and on line 14 and go to line 15
14 Multioly the smaller of line 6 or line 13 by 2.9% (.029) ... ...
15 Self-employment tax. Add lines 10 ana 14 Enter the result here and on Form 1040. line 47
Note: Also enter one-half of the amount from line 15 on Form 1Q4Q, line 25.
Part II
4a
4b
4c
S 5 3,400
8a
8b
9
10
11
12a
10
5125. ::-c
12a I
13
14
15
Optional Methods To Figure Net Earnings (See "Who Can File Schedule SE" and "Optional Methods" ir
the instructions.)
Farm Optional Method. You may use the farm optional method only if (a) Your gross farm income was not more than S2.400 oi
(b) Your gross farm income was more than $2,400 and your net farm profits'were less than $1,733.
'16 I ;1.6001 ::
16 Maximum income for ootional metnods
17 Enter the smaller of: two-tmrds i'/j) of gross farm income' or $1,600. Also include this amount
on line 4p above . . . . . . .
17
Nonfarm Optional Method. You may use the nonfarm optional method only if (a) Your net nonfarm profits3 were less than_51.731
and also less than 72.189% of your gross nonfarm income1 and (b) You had net SE earnings of at least $400 in 2 of r ;
years. Caution: You may use the nonfarm optional method no more than five times. i
18 Subtract the amount on line 17. if any, from line 16 and enter the result 18
19 Enter the smaller of: two-thirds iVj) of gross nonfarm income' or the amount on line 18. Also
include this amount on line 40 above .
I*
JFrom Schedule C (Form 1040). line 31. and Schedule K-i iform 1065V line 15a
'From Scneduie C (Form 1040). line 7. a no Schedule k-i i 065> line i5c
19
• US OPO
-------
SCHEDULE E
(Form 1040)
Ceoanmert of tne Treasu/v
Revenue aervicaiO)
Supplemental Income ana Loss
[From rents, royalties, partnerships, estates, trusts. REMICs. etc.)
> Attach to Form 1040 or Form 1041. .
~ Sm Instructions for Schedule E (Form 1040).
- ' '3 No
MO
91
Anacnmem
Seauence No. 13
Nametsi snown on reiu/n
Your social security numor
Income or Loss From Rentals and Royalties Note: Rgooh T3fm rQHT3i incomB or loss from Form 4335 on 039® ^ ^
Part I
1 | Show tne kind ana location of eacn rental property:
a wareb.pu.^.
(nO &A.
For eacn rental orooeny listed on
line 1. did you or your ramitv use
it for oersonai ourDOses for more
than the greater of 14 days or
10% of the total davs rented at
'air rental vaiue during the tax
year? (See instructions i
Yes i No
*
Rental and Royalty Income:
Properties
B
3 Rents received.
4 Rovaities received
3 I 3,^3
Totals
(Aod columns A B ana C )
3 I
4 I
Rental and Royalty Expenses:
5 Advertising
6 Auto ana travel
7 Cleaning ana maintenance
8 Commissions
9 insurance
10 Legal and other protessionai fees
11 Mortgage interest oaid to oanks.
etc. (see instructions)
12 Other interest
13 Repairs
14 Supplies
15 Taxes
16 Utilities
17 Wages ana salaries
18 ,Other (list) ~
8 I
9 I
10
11
12
13
14
15
25 8
16 I
17
18
19
20
21
22
19 I
20
h8Q
21 I
^30
23
24
25
Aad lines 5 througn 18
Depreciation expense or depletion
(see instructions!
Total expenses. Add lines 19 and 20
Income or (loss) from rental or
royalty properties. Subtract line 21 '
;rom ime 3 (rents) or line 4
(royalties), if the result is a (loss),
see instructions to find out if you •
must file Form 6198
Deductiole cental loss. Caution:
Your rental loss on nne 22 mav oe
nmitea. See instructions to una out
,f you must file Form 8582
Income. Add renai and rovaity income from ime 22. Enter tne total income here
Losses. Add royalty losses from line 22 ana rental losses from nne 23. Enter tne total losses nere
22I 2,340
23
>i(
20 I
24! J. 340
25 ¦'
26 Total rental ana royalty income or ilossi. Comoine imes 24 ana 25. Enter tne> result nere it Parts H
III. IV. and line 39 on oage 2 do not aopiy to vou. enter tne amount from nne 26 on Form '040.
ime 18 Otherwise, include tne amount from line 26 m tne total on nne 40 on page 2 26
For Paoerworfc Reduction Act Notice, see Form 1040 instructions.
Cat no 1
Schedule E [Form 10401 199
-------
:c.*eouie = -cm -o-C'. ' -~3cr~°r' -.ayce 'io 13 33qe t
'.ameisi srown on -Blum .C; iot enter name ana social secuntv numoer it sncwn on otner siae i Your tocai security numow
Note: if vcu report amounts from farming or tisning on Sctieauie E. you must enter vour gross income rrpm rnose activities on imp 41 Mow.
f3ffH Income or Loss From Partnerships and S Corporations ¦
If you reoort a loss from an at-nsk activity, you MUST checK either column (e) or (f) of line 27 to oescnbe your investmei
| (b) Enter P for
27 (¦( Name oannersnio: S
1 'or S corooration
(c) ChecK it { Id) Emoiovar 1 liiwimeel /U Risk?
'oreiqn dentrtication !(e) AN is t (f) Somea
oartnersnio I numoer lat nstt Inotaflns*
A 1 1 1
B1 1
|
Ci 1
j
Passive Income and Loss
Nonpassive Income and Loss
(g) Passive >oss allowed (h) Passive income
(attacn Form S5B2 if recuireal { from Schedule K-l
, 1 III Section 179 exoense
(i) Monoass/ve loss | M oeduction W Nonoassive income
'rom Schedule K-l j ,.om Form 4S62 from Schedule K-1
A 1 1 1
I 'I i I i
B| -ll !
I I I
C| 1 1 !
II I i
dI i
I ' i
El '1 i
: ' I
Tot?K
i
%
1
29
30
31
29
30
Ado columns (h) and (k) of line 28a. Enter tne total income nere
Add columns ig), (i). and (j) of line 28b. Enter tne total here . .
Total partnersmo and S corDoratiori income or (loss). Comome lines 29 and 30. Enter the result
here and include m the total on line 40 below ' 31
Part llll
Income or Loss From Estates and Trusts
32
(a) Name
J (b) Emoioy— '
' aentittcaoon n
Passive Income and Loss .
Nonpassive Income and Loss
(c) Passive aeouction or ioss ailowea j (d) Passive income
artacn Form 0SB2 if reouireai 'rom Schedule K-1
(el Decuction or ioss IO Otner mcome irom
'rom Schedule K-1 Schedule K-i
A I
B I
I
C
CI ' I
1
Tnfan
I
)
J
"
1
1
34
34 Add columns id) and (f) of line 33a. Enter rne total income nere
35 Ada columns (c) and (e) of line 33b. Enter the total here
36 Total estate and trust income or (loss). Comome imes 34 and 35. Enter tne result here and include
>n the total on line 40 below ' 36
35 M
HZ*?! Income or Loss From Real Estate Mortgage Investment Conduits (REMICs)—Residua) Holder
37
(a) Name
(b) Emoioyer
identification numoer
|c) Excess inclusion from
Schedules O. line 2c isee
rstructionsi
(dl Taxaoia '"come met iossi
tram Schedules O. line id
let income from Schedules
line 30
Q.
38 Combine columns id) and (e) oniv. Enter tne result here and .nclude in the total on line 40 below 38 I
Part V
39
40
41
Summary
Net farm rental income or doss) from Form 4835 (Also comoiete line 41 beiow.i 39
TOTAL income or nossj. Comome nnes 26. 31, 36. 38. ana 39. Enter tne result here ana on Form
1040. line 18 _• ~
Reconciliation of Farming and Fishing Income: Enter your gross i
farming ana fishing income reoortea m Parts II ana ill ana on ime 39 I
'see instructions! ' 41 i
'US QPO l 99 I O J85-181
-------
Individual Financial Data Request Form
This form requests information regarding your personal financial status. The data will be used to evaluate
your ability to pay for environmental clean-up or penalties. If there is not enough space for your answers,
please use additional sheets of paper. Note that we may request further documentation of any of your
responses. We welcome any other information you wish to provide supporting your case, particularly if
you feel your situation is not adequately described through the information requested here.
Certification
I declare that this statement of assets, liabilities, and other information is true, correct, and complete to
the best of my knowledge and belief.
Signature Date
-------
PART I. BACKGROUND INFORMATION
1. MEMBERS OF HOUSEHOLD (List the head of the household and all persons living with you)
Name
Age
Relationship to Head
of Household
Currently
Employed?
'
2. EMPLOYMENT (List all jobs held by persons in household)
Name
Employer
Length of
Employment
Annual
Salary
2
-------
PART n. CURRENT LIVING EXPENSES
Please list personal living expenses which were typical during the last year and indicate if any of these values are
likely to change significantly in the current year. Please do not include business expenses. If you are the owner
-"f an operating business, please attachment any available financial statements.
Amount
Period of Payment (check one)
For Agency Use Only
Expense
Weekly
Monthly
Quarterly
Yearly
A. Living Expenses
1. Rent
2. Home maintenance
.
3. Auto fuel maintVother transp.
4. Utilities
a. Fuel (gas,oil,wood,propane)
b. Electric
c. Water/sewer
d. Telephone
5. Food
6. Clothing, personal care
7. Medical costs
B. Debt Payments
1. Mortgage payments
2. Car payments
3. Credit card payments
4. Educational loan payments
C. Insurance
1. Household insurance
2. Life insurance
3. Automobile insurance
4. Medical insurance
D. Taxes
1. Property taxes
2. Federal income taxes
3. State income taxes
4. FICA
E. Other Expenses
1. Childcare
2. Current School tuition/expenses
3. Legal or professional services
4. Other (itemize on separate page)
Total Current Exoenses
*
3
-------
PART m. NET WORTH
II
I. BANK ACCOUNTS (Checking, NOW, Savings, Money Market, etc.)
Name of Bank or Credit Union
Type of Account
Current Balance
For Agency Use Only - Total Current Balance in Bank Accounts
2. INVESTMENTS (Stock, Bonds, Mutual Funds, Options, Futures, CD's, Real Estate Investment Trusts
(REIT), etc)
Investment
Number of Shares or Units
Current Market Value
For Agency Use Only - Total Current Market Value of Investments
3. RETIREMENT FUNDS AND ACCOUNTS (IRA, 401(k), Keough, vested interest in company retirement
fund, etc.)
Description of Account
Estimated Market Value
For Agency Use Only • Total Estimated Market Value of Retirement Funds and
Accounts
4. LIFE INSURANCE POLICIES
Policy Holder
Issuing Company
Policy Value
Cash Value
\
For Agency Use Only - Total Value of Life Insurance Policies
4
-------
5. VEHICLES (Cars, Trucks, Motorcycles, Recreation Vehicles, Motor Homes, Boats, Airplanes, etc.)
Model
Year
Estimated Market Value
For Agency Use Only - Total Estimated Market Value of Vehicles
-
6. PERSONAL PROPERTY (Household Goods and Furniture, Jewelry, Art, Antiques, Collections, Precious
Metals, etc. Only list items with a value greater than $500.00)
Type of Property
Estimated Market Value
For Agency Use Only - Total Estimated Market Value of Personal Property
'7. REAL ESTATE (Land, Buildings, Land with Buildings)
Location
Description of Property
Estimated Market Value
For Agency Use Only - Total Estimated Market Value of Real Estate
8. OTHER ASSETS
Type of Asset
Estimated Market Value
-
For Agency Use Only - Total Other Assets
n
5
-------
9. CREDIT CARDS AND LINES OF CREDIT
Credit Card/Line of Credit (Type)
Owed To
Balance Due
-
For Agency Use OnJy - Total Balance Due on Credit Cards and Lines of Credit
10. VEHICLE LOANS (Cars, Trucks, Motorcycles, Recreation Vehicles, Motor Homes, Boats, Airplanes,
etc.)
Vehicle (Model and Year)
Owed To
Balance Due
For Agency Use Only - Total Balance Due on Vehicle Loans
'
11. FURNITURE AND HOUSEHOLD GOODS LOANS:
List Item
Owed To
Balance Due
For Agency Use Only - Total Balance Due on Furniture and Household Goods
Loans
12. MORTGAGES AND REAL ESTATE LOANS
Type of Loan
Owed To
Property Secured
Against
Balance Due
—
For Agency Use Only - Total Balance Due on Mortgages and Real Estate Loans
6
-------
13. OTHER DEBT (Amounts due to individuals, Fixed obligations, Taxes Owed, Overdue Alimony or Child
Support, etc.)
Type of Debt
Owed To
Balance Due
For Agency Use Only - Total Balance Due on Other Debt
7
-------
PART IV. ADDITI9NAL INFORMATION
Please respond to the following questions. For any question that you answer "Yes," please prn^e
additional information on separate pages or at the bottom of this page.
QUESTION
YES
NO
1. Do you have any reason to believe that your financial situation will change
during the next year?
2. Are you currently selling or purchasing any real estate?
3. Are you involved or affiliated with any other sole proprietorships, parterships
or corporations?
4. Is anyone (or any entity) holding real or personal property on your behalf
(e.g., a trust)?
5. Are you a party in any pending lawsuit?
6. Have any of your belongings been repossessed in the last three years?
7. Are you a Trustee, Executor, or Administrator?
3. Are you a participant or beneficiary of an estate or profit sharing plan?
9. Have you declared bankruptcy in the last seven years
10. Do you receive any type of federal aid or public assistance?
8
-------
SOLE PROPRIETORSHIP
EXTENDED ABEL ANALYSIS
Section I. General Information
1. Violator (Busipess):
2. Address:
3. Proprietor:
4. Principal business activity and product or service (Schedule C, Item A):
5. Original penaltv amount
Section Q. Financial Information
6. Tax returns and schedules
Year
Prepared
7. Financial Statements
Period(s) covered
i
-------
SOLE PROPRIETORSHIP
EXTENDED ABEL ANALYSIS
Section EL Financial Information (continued)
8. Other information on violator or industry:
-------
SOLE PROPRIETORSHIP
EXTENDED ABEL ANALYSIS
Section QL Ownership and Operating Affiliations
Additional business concerns (check and answer where applicable)
Yes
No
9. Is this corporation affiliated with any other business concerns (e.g.,
corporations, partnerships, sole proprietorships)
10. If Yes, provide the following information:
Name of entity
"type of entity
Relationship and documents
available
11. Summary: Discuss possible expansion of Ability to Pay analysis
-------
SOLE PROi hTOtOsHlP
EXTENDED ABEL ANALYSIS
..
Section [V - Income
I
Part A. Business Income
12. Business income
(from Line 12 on 1040)
S
13. Depletion
+
(1040 Schedule C, Line 12)
$
14. Depreciation and/or Amortization
+
(1040 Schedule C, Line 14)
$
15. Total business income
=
$
Part B. Personal Income
16. Wage income
(Line 7 on tax form)
$
17. Taxable interest income
Line 8a on tax form)
$
18. Tax-exempt interest income
(Line 8b on tax form)
$
19. Dividend income
(Line 9 on tax form)
$
20. Alimony received
(Line 11 on tax form)
$
21. Total IRA distributions
(from tax form: if Lines 16a and 16b are both greater
than zero, enter the amount on 16a; if Line 16a is zero
and line 16b is positive, enter the value on Line 16b)
$
22. Total pensions and , nnuities
(from tax form: if L;nes 17a and 17b are both greater
than zero, enter the amount on 17a: if Line 17a is zero
and line 17b is positive, enter the value on Line 1~>)
$
23. Total social security
(Line 21a on tax form)
$
-------
SOLE PROPRIETORSHIP
EXTENDED ABEL ANALYSIS
24. Total income or (loss) from rental properties or
royalties (Schedule E of tax form. Line 22)
25. Depreciation or depletion on rental property
(Schedule E of tax form, Line 20 total all properties)
26. Partnership/S corporation income or (loss)
(Schedule E of tax form, Line 31)
27. Estate and trust income or (loss)
(Schedule E of tax form, Line 36)
28. REMIC income or (loss)
(Schedule E of tax form, Line 38)
29. Farm rental income or (loss)
(Schedule E of tax form, Line 39)
30. Depreciation on farm rental property
(Form 4835, Line 13)
31. Farm income or (loss)
(Line 19 on tax form)
32. Depreciation on farm property
(Schedule F of tax form, Line 17)
33. Capital gain or (loss)
(Lines 13 plus 14 on tax form)
34. Other gains or (losses)
(Line 15 on tax form)
35. Total personal income
(add Lines 16 through 34)
36. Total income
(add Lines 15 and 35)
$
$
$
S
$
$
$
$
$
$
$
$
$
-------
SOLE PROPRIETORSHIP
EXTENDED ABEL ANALYSIS
Section V. Net Cash Flow
37. Total annual living expenses, net Federal Income Taxes
(convert expenses from Part II of Financial Data
Request form to annual values and sum; ignoring Line
D.2)
38. Total annual debt payment
(Part II of Individual Financial Data Request form,
sum entries in section "B. Debt Payments")
39. Pre-tax cash flow
(subtract Line 37 from Line 36)
$
$
$
Expense Evaluation
Expense Category
Amount
Possible
reduction
Justification for reduction
40. Total possible reduction in expenses
(Sum the possible reductions):
41. Adjusted pre-tax cash flow:
(Line 39 + Line 40)
$
-------
SOLE PROPRIETORSHIP
EXTENDED ABEL ANALYSIS
Section VL Net Worth
Part A. Business and Personal Assets
42.
Bank accounts (Part III of Individual Financial Data Request
form, total from III.l)
43.
Investments (Part III of Individual Financial Data Request form,
total from III.2)
44.
Retirement funds and accounts (Part III of Individual Financial
Data Request form, total from III.3)
45.
Life insurance policies (Part III of Individual Financial Data
Request form, total from III.4)
46.
Vehicles (Part III of Individual Financial Data Request form,
total from III.5)
47.
Personal property (Part III of Individual Financial Data Request
form, total from III.6)
48.
Real estate (Part III of Individual Financial Data Request form,
total from III.7)
49. Other assets (Part III of Individual Financial Data Request
form, total from III.8)
50. Total personal assets (sum Lines 42 through 49)
51. Business assets (from Sole Proprietorship balance sheet)
52. Total assets (Line 50 + Line 51)
$
$
S
$
S
$
$
$
$
$
$
-------
SOLE PROPRIETORSHIP
EXTENDED ABEL ANALYSIS
Section VI. Net Worth (continued)
Part B. Asset Evaluation
Asset and Use
Book Value
Estimated
Market Value
Value
Difference
53. Total estimated excess value of assets
$
54. Revised asset, total
(Line 52 + Line 53)
$
Part C Business and Personal Liabilities
55. Credit cards and lines of credit (Part III oi individual Financial
Data Request form, total from III.9)
56. Vehicle loans (Part III of Individual Financial Data Request
form, total from 111.10)
57. Furniture and household goods loans (Part III of Individual
Financial Data Request form, total from III.ll)
58. Mortgages and real estate loans (Part III of Individual Financial
Data Request form, total from 111.12)
59. Other debt (Part III of Individual Financial Data Request form,
total from 111.13)
60. Total personal liabilities (sum Lines 54 through 59)
61. Business liabilities (from Sole Proprietorship balance sheet)
62. Total liabilities (Line 60 + Line 61)
S
$
$
$
$
$
$
$
-------
SOLE PROPRIETORSHIP
EXTENDED ABEL ANALYSIS
Section VL Net Worth (continued)
Part D. Net Worth Calculation
63. Net Worth (subtract Line 62 from Line 54)
64. Liability-to-Asset Ratio (divide Line 62 by Line 54)
Section VII. Case Disposition
Part A. Cash Flow
65. Pre-tax cash flow (from Line 41)
%
66. Contingency percentage
(enter the contingency percentage for expenses)
67. Contingency amount (multiply Line 66 by Line 37)
%
68. Available pre-tax cash flow net of contingency
(subtract Line 67 from Line 65)
69. Tax adjustment (Line 68 x 0.67)
70. Non-cash deduction benefits
71. Estimated after-tax cash flow (Line 69 + Line 70)
-------
SOLE PROPRIETORSHIP
EXTENDED ABEL ANALYSIS
Pait B. Net Worth Assessment
72.
Net Worth (from Line 63 above)
73.
Target Liability-to-Asset Ratio
74.
Target assets (divide line 62 by Line 73)
75.
Available assets (subtract Line 74 from Line 54)
76.
Percentage of debt payment to annual income
(divide Line 38 by Line 36)
I
Analyst's Name
Date
-------
1040
3*o«nm#nt of '"9 'reaiurv—flev«nm Servtca
U.S. Individual Income Tax Return
191
i.9.
Label f
See
-struc'.ions
:n oage 11)
Use tne iHS
aoei.
Otherwise.
3iease onnt
or rvoe.
Presidential >•
Election Campaign
See oaae 11 1
•y :ne vear jan -uec
'991 or otnertaxvear oeammna
'391 enama
9
¦ OMB No 1515-007*
Your nrst name ano inmai
it a iomt return, soouse s nrst name ana inmai
.ist name
Home aoaress m-jmoer ano streeti. ill you nave a P 0 do*, see oaqe >1 )
i Aot. no
I
C.:v town or oost omce. stats. ana ZIP coae lit you nave a loreign acoress. see oage 11 l
~
Do you want Si to go to tnis (una? . . . .
f 'Pint return, goes vour soouse want Si to go to tnia (uno?
Yes
Yea
2.
Vour (octal oscunty numoer
Spouse's socti security numoer
For Privacy Act and
Paperwork Reduction
Act Notice, see
instructions.
iSj0 . Not*: Cfleaonq Yes'
I "Of cflange your ttx or
No I recucn vour retuflO
Filing Status
-)iecK omv
-ne oox
Exemptions
Zee oage 12 !
' more tnan six
geoenaents.
see oage l3
6a
b
c
Singie
Marnea tiling iomt return (even it only one naa incomei
'.tameo ruing seoarate return Enter soouse s social security no aoove and full name nere. ~
Heao ot nousenoia (witn Qualifying personi (See oage 12 ) If the auairfying person is a cnild but not your aeoenoent
enter tnis cnna's name nere. ~
Qualifying wioowieri witn aeoenoent cnna (year soouse oiefl > 19 ; (See oage 12.)
Yourself, if vour oarent lor someone etsei can ciaim vou as a aeoenoent on nis or ner tax
-stum, co not cr.ec* oox 6a. But oe sure to cnecx tne oox on une 33b on oage 2
Spouse
Oepenaents:
111 Name " -v -
ii ana ias> namei
.tlCieoi >3) it iae i or cmer ,4|Oeoenoems .5) No oi ¦¦•omits
' .rati i aeoenoent s social security I ->iationsmo to 1 'eg m -/our
i 1 • jmoer ^ ou "rne m :-?9i
t
it /our cnua 3:cn; :;ve witn vou out is ciaimeo as your aeoenoent unoer a ore-1985 agreement cnecx nere
Total numoer of exemotions ciaimea
> L_!
Ne. ot tent
CflMMI M (a
ane M
No. ot toot
cniMns oa (c
wtte:
• tare* witn yes
• oust ttv» witn
yos too lo
diverse or
sosamm (its
ute 14)
No. ot otfior
1IIIMIIM Ofl 6t
Ati aemMrt
•ntetM on
lints Mots
:o
Income
Attacn
Cooy 8 of your
Forms W-2.
-------
r~rm '0^0 (199M
Tax
Compu-
tation
if you want
T.e iRS to
figure your
rax. see cage
24
32
33a
b
c
34
Enter
tne
larger
of
your.
39
36
37
38
39
40
Amount from tine 31 (aoiustea gross incomei
Checx if: Lj You were 65 or oiaer. i Blind: lj Sooum was 65 or oicer. C3
Add the numoer of coxes cnecxeo aoove ana enter tne total here •
If your parent lor someone eisei can ciaim you as a aeoenaent. cnecK nere ~
if you are mamea tiling a separate return ana your soouse itemizes a eductions,
or you are a auai-status aiien. see oage-23 ana cnecK nere - ~
Itemized deductions ifrom Scneauie A. line 26), OR
Standard deduction isnown oeiow for your filing status). Caution: if you
created any oox on nne 33a or o. 90 (0 page 23 to find your stanaara
-eduction, it you cnecxea oox 33c. your stanaara aeOuction is zero.
e Smgifr—$3,400 * Heea of housenotd—$5,000
• Mamea filing |omttv or Qualifying wioowier>—$5,700
• Mamed filing separately—$2,850
Subtract line 34 from nne 32 .....
if line 32 is $75,000 or less, muitioiy $2,150 by tne total numoer of exemptions claimed on
ime 6e. if ime 32 t nne 53 s more tnan line 60 suotract ime 60 from nne S3. This is tne AMOUNT YOU OWE.
Attacn cnecx or money oraer tor tuii amount cayaoie to internal Revenue Service. ' Write your
-ame aaoress social security numoer aavtime onone numoer. and "1991 Form 1040" on it
Estimated fax oenaitv isee oage 28) Also mciuae on nne 64. i 68 I I
Sign
Here
-------
SCHEDULES A&B
(Form 1040)
D*0^rr>*«t 2» *r» Tr|iK/v
'(•mat a«v«ou« S«rv<»id)
Schedule A—itemized Deductions
(Schedule B is on back)
~ Attach to Form 1040. ~ Saa Instructions for Schedules A and S (Form 1040).
CMS No. 15*5-0074
91
Attacnmam
Sequence No. 07
NametSl snow" on rorm 1040
Your tooal lacuilY numear
Medical
and
Dental
Expenses
Caution: Do not mciuae exoenses reimoursea or oaia by others.
1 Medical ana aentai exoenses. iSee cage 38.)....
2 Enter amount :rom form 1040 line 32 ! 2 I [_
3 Muitioiy nne 2 aoove Dy 7 5% ( 075] . . ...
4 Subtract line 3, from nne i Enter tne result, if less than zero, enter -0
Taxes You
Paid
i See
sage 36:
State ana local income taxes
Real estate taxes . . .
Otner taxes. iList—nciuae oersonai property taxes.) ~
8 Aaa lines 5 trrouan 7 Enter tne total
Interest
You Paid
(Sn
sage 39 I
Note:
3ersonai
¦merest is
no longer
aecucticie
9a Home mortgage interest ana oomts reoortea to you on Form 1098
b Home mortgage interest not reoortea to you on Form 1098. (If
paid to an maiviauai. snow tnat person s name ana aaoress.) ~
10 Points not reoortea to you on Form 1098. (See
nstructions for soeaai ruies.)
11 -investment interest (attacn Form 4952 if required). (See
page 40.) ...
12 Add lines 9a through 1 > Enter tne total • ¦ . .
Gifts to Caution: if you rnaae a cnantaoie contribution and
Chanty received a benefit m return, see page 40.
,3^ 13 ContnDutions oy casn or cnecK
oage-40) 14 other tnan casn or cnecK. (You MUST attacn Form 8283
if over S500.)
15 Carryover from prior year . .
„ 16 Add lines 13 throuqn is Enter tne total.
~ 1 18
Casualty and
Theft Losses 17
Casuaitv or *reft lossiesi (attach Form 4684). (See cage 40 )
17
Moving
Expenses 18 Moving expenses lattacn Form 3903 or 3903F) (See page 41)
~ 1 18
Job Expenses 19
and Most Other
Miscellaneous
Deductions 20
(See
oage 41 'or
exoenses to
aeauct nere 1 ' 21
22
23
24
Unretmoursea employee exoenses—too travel, union
dues. |oo eaucation. etc. (You MUST attacn Form 2106
if required. See instructions ) ~
Other exoenses (investment, tax preparation, safe
deposit oox, etc.). List type ana amount ~
19 I
21 l
Add lines 19 and 20
Enter amount trom Form 1040 line 32. I & I L
Multiply line 22 aoove oy 2% ( 021
Subtract line 23 from nne 21 Enter tne result, if less tnan zero, enter -0-
23 I
Other
Miscellaneous
~eductions
25 Other (from nst on oage 41 of instructions). List type ana amount ~
28 • if the amount on Form 1040. line 32. is $100,000 or less IS50.000 or
Total less if married filing seoarateiy). aad lines 4, 3. 12. 16. 17. 13. 24, and
Itemized 25. Enter tne total nere.
Deductions # ,1 the amount on Form 1040. line 32. is more than $100,000 (more than
$50,000 if marneo ¦ ng separately), see page 42 for the amount to enter.
Caution: Be sure to enter on Form \Q40. line 34, the LARGER of the
amount on nne 26 aoove or your stanaara aeauction.
For Paparwom Reduction Act Notice, sea Form 1040 instructions.
Cat No 126110
Schedule A (Form 1040) 1M
-------
Sc"ieaui«s -*<43 iFor^ ¦i',-0i '99' 1MB No 1S-5-00?*
'-ameisi s~c -vn on form 'C-iQ >C; ¦;• -are a-': i ;r;„ ~ „~ce' : r:/-n c ~ :'*e' see i /our social s#c—— ¦'
Schedule B—Interest and Dividend Income
Ana
Seouenca no Oi
Part I
Interest
Income
See
rages 15
ana 43 i
If you received more than S400 in taxaole interest income, or you are claiming the exclusion ot interest fron
series EE U.S. savings oonas issued after 1989 (see page 43). you must complete Part I. List ALL interest rece«ve<
in Part I. If you received more tnan S400 in taxable interest income, you must also complete Part III. If you recetveo
as a nominee, interest that ac: jaily belongs to another oerson. or you received or oaid accrued interest on secunttei
transferred between interest oayment dates, see page 43.
interest income
Amount
1 Interest income, ilist name or payer—>f any interest income *s rrom
selier-tinancea mortgages. see instructions ana nst'tms interest first.) ~
Note: if vou
received a rorm
'099-lNT Form
¦ 099-OlD. or
sjostitute
statement, from
a orokerage firm
>st tne turns
name as tne
:aver ana enter
•ne totai interest
;-own or. tnat
¦orm.
1 I
2 Ada tne amounts on nne 1 . _
3 Enter t~e excludable savings cond interest, if anv. from Form 8815. line u
Attacri Form 6815 to Form 10-10
4 Subtract nne 3 from une 2 Enter tne result here ana on Form 1Q4Q. line 8a ¦ ~
Part II
Dividend
Income
See
oages 16
ana 43)
Note: it ciuae on this ime capital gain
distributions, nontaxable aistnoutions. etc.] ~
6
7
8
9
10
6 i
Ada t.~3 amounts on nne 5
Caoitai gain aistnoutions Enter nere ana on Scneauie D' 7 :
Nontaxaoie aistnoutions iSee tne '"St. for Form iO-IO. line 9) 8 1
Add lines 7 ana 8
Subtract une 9 from ime 6 Enter tne result here ana on Form 1040. line 9 I
",f you receivea caonai gam aistnoutions out ao not neea Scheauie J to reoort any otner gams or tosses,
see tne msrnjcnons tor Form iC-iO. lines 13 ana M
10 I
Part III
Foreign
Accounts
and
Foreign
Trusts
See
;age -O :
If you received more tnan S400 of interest or dividends, OR if you had a foreign account or were a
grantor or. or a transferor to. a foreign trust, you must answer botti questions in Part III.
11a At any time ourmg 1991 c:o vou rave an interest m or a signature or other autnontv over a financ.ai VM,
account m a toreign ccjntrv ,sucn as a DanK account, securities account, cr otner fi-.anciai r*
account)"' (See oage 43 for exceptions ana filing reauirements for Form TD F 90-22 ' )
b if "Yes.' enter tne name ot the foreign countrv >
12 Were vou tr.e qrantor ot cr vansteror to a foreign trust tnat existea during 1991 , .vnetner or -ot ?
vou nave anv oeneticiai interest m it"5 If "Yes." vou mav nave to tne Form 3520. 2520-a or ^26
For Paoerwom Reduction Act Notice. see Form 1040 instructions.
j 3 Oovwtvtwii fmrq orte 1991 —
-------
SCHEDULE C
(Form 1040)
leoinme^t v •-« "eas^v
-eve^ue 5«fvct
Profit or Loss From Business
(Sole Proprietorship)
~ Partnerships, joint ventures, etc.. must file Form 1065.
~ Attach to Form 1040 or Form 1041. ~ See Instructions for Schedule C (Form 1040).
CU8 Mo 15-15-007
91
Attacronent
Seauanca No. 0
'lame or ;-;cr:etor
Socul ncunty numMr (SSN)
A
--incioai ousiness or Droression including croauct or service isee instructions)
B Enter pnncipai Ousiness codi
\ . (from page 2) > f | | j
C
Business name
0 Employer 10 numoar (Not SSN)
! 1 : 1 II 1 1 I
F
3usmess aaaress (inciuamg suite or room no i ~
Citv town or Dost office, state, ana ZIP coae
F
a
H
I
J
-ccounting method:
(1) t_ Casn (2) l_! Accrual
(3) l_l Other i specify) ~
_ Does not apply (if
(4) LJ cnecKed. skip line H)
Metnoa(s) usea to ^ . Lower of cost __ Other lattach
value closing inventor/' (1) L_ Cost , (2) LJ or marKet (3) LJ explanation!
.vas tnere anv cnanqe m aetermimna examines, costs, or valuation? '^tween ooening ano closing inventory7 (if 'Yes artacn exoianation I
Did vou materially oarticioate m tne ooeration of tms Dusmess aunng 199P (It 'No.' see instructions tor limitations on losses.)
" *his is the first Scheauie C Meg for ;ris business c~ecK nere
Yes i f
VTill Income
1 Gross receiots or saies Caution: ir :nis income was reooneO to vou on Form W-2 ana tne
Statutory emoiovee oox on mar form was cnecnea. see tne mstnjctions ana cnecx nere
~ i
I 1
I
i
2 °eturns ana allowances ...
3 SuDtract line 2 from line 1
4 Cost of goods sold (from line 40 on cage 2) ......
5 Subtract line 4 from line 3 ana enter tne gross profit here
6 Other income, inciuamg Federal ana state gasoline or fuel tax credit or refund (see instructions!.
7 Aad lines 5 ana 6. This is vour gross income
Part II
2 I
4 I
6 I
Expenses iCaution: Enter expenses for business use of your nome on line 30.)
8
9
10'
11
12
13
14
15
16
17
18
19
20
Aavertising
Baa aeots from saies or
services isee instructions).
Car ana truck exDenses isee
instructions—also attach
Form 4562) .
Commissions ana fees
Ceoietion
rforeciation ana section i 79
¦?*oense aeauction i not mciuaea m
^art mi isee mstructionsi
employee oenefit programs
'Otner tnan on uns 191
'rsurance totner than neaithi
;.-;erest:
Mortgage ipaia to oanxs. etc i
Other
Leqai ano orotessionai services
Office exoense
;ension ano orotit-snarmg pians
--rit Of lease isee instructions!
Ver'cies ~acnmefv ana eauioment
Otner ousiness orooenv
10
21 Repairs ana maintenance 21 I
22 Suooiies mot included m Part ill) 22 I
23 Taxes ana licenses. \jy///)\
24 Travel meai
a Travel
11 i
12
13 I
14
15 I
b Meals ana
•Titertainmeni
c Enter 20°o at line
240 suoiect to
imitations isee
mstructionsi . ' ' !
d Subtract line 24c trom line 246 1 24d I
29 Utilities
26 Wages (less iocs credit)
27a Other expenses (list type and amount)
16b l
I
17
18
19 I
20a i
20b !
1 27b Total otner expenses
27b
i'
i
24a
I
' i
i
28
29
30
31
32
Aaa amounts m columns for nnes a tnrougn 27b These are your total expenses oefore expenses for
Dusmess use of vour nome ~
"entative profit (loss). SuDtract line 28 from line 7 .... ...
Expenses 'or ousiness use of your nome lattacn Form 8829*
Net profit or (loss). SuDtract nne 30 from une 29 if a orofit. e ?r nere ana on Form 1040. line 12. Also
enter me net aront on Scheauie 5E. line 2 (statutarv employees, see instructions), if a loss, you MUST
^o on io une 32 (fiauciaries. see instructions) ....
• .ou nave a loss, /ou MUST cnecu tne oox cnac aescrioes vour investment m tms activity isee mstructionsi
: vou cnecKea 32a. enter tne ioss on Form io-»0 .ire 12 ana Scheauie SE. line 2 (statutory
emoiovees see mstructionsi if .ou cnecKea 32b vou MUST attach Form 6198.
28
I 29
30 I
I
31
I 32a ~ aii investment is at r<
j 32b ~ Seme investment is r.c:
Frtf PannrwAfk Rftduetian Art Nntir a Fnrm KW) mttnirtinn*
r» Mi-. 1 i TTdD
S£h*duiA C (Form 104AI
-------
:~e<3ute C -z"*
Part III
Cost of Goods Sold iSee instructions.!
33 -ventorv at oeqinmng of year u; different from last year s Closing inventory. a;*acn exoianation i
34 3,jrcnases less cost of items witnarawn ror oersonai use
35 Cost ot latw. (Do not inciuae saiarv Daia to vourseif i
36 '.'atenais ana suooues
37 Cttier costs
33 Aaa lines 33 throuan 3? ...
39 inventory at end of vear
40 Cost of goods sold. Subtract "e 39 from nne 38 Enter tne result nere and on cage ' line 4
Part IV
33
34
35
36 I
I 37
38
I 39 I
40 I
Principal Business or Professional Activity Codes
Locate tne maior category tnat Best cescr.oes vour activity Within tne maior category seiect tne activity coae tnat most ciosety <3entities tne
business or orofession tnat is tne onncioai source rr vour saies or receiots. Enter this 4-o^it cod* on page 1. line B. For examo/e. reai estate
agent is unaer tne maior crr-vjory ot "Real Estate -a tne coae is 5520." iNote: if vour : - aoai source of income is trom farming acuities, you
inouia file Schedule F 'Fo ~ 1040I P'ofit or Los. Farrnna.)
Agricultural Services,
Forestry, Fishing
Code
990 Ammai services, otner man
:reeamg
933 C-co services
J113 Farm iaoor 4 management
services
:216 F^snira commercial
.'238 Forestry exceot loagmg
2212 "orticuiture 4 lanoscaemg
2-69 jntmo 4 traoomo
'97J L.vestocK oreeding
"836 Loagmg
'958 Vi'ertnarv services mciuflino oets
' 552 Oil & gai
'"'9 QuafTywr
onmetaiiic mining
Real Estate
£538 Ooerators 4 lessors ot Buildings.
nciudinq resiaennai
i=53 Ooerators 4 lessors ot otner real
orooertv |
i520 Real estate aoents 4 DroKers
:579 "eat estate Drooertv managers i
i"'0 Suociviaers 4 aeveiooers. exceot I
remetenes i
"e aosiraci otices
- '55
Construction
0018 Ooerauve ounaers itor own
accounti
Budding Trade Contractors. Including i
Repairs
0414 CarDentenng 4 floonng
0455 Concre-.e worn i
0273 £ --—cai worn !
0299 V'-j-'v ary wan stone 4 tile
0257 Pa ¦ -q 4 oaoer nanging
0232 3'un.-;nq neaung 4 air conditioning i
0430 RooMig. siding 4 sneet metal
3885 Otner ouiiding traae contractors .
excavation giazing etc i
General Contractors
0075 H.qnwav 4 street construction
0059 Nonresidential ou'iaing
;034 Pes'cennai ounamg
;389 G:-er reaw construction ioioe
ivinc onaqe construction etc i:
Finance, Insurance, &
Related Services
-.064 Broners 4 aeaiers ot securities
•5080 Commodity contracts doners 4
-eaiers: secunty 4 commodity i
excnanqes
6143 Credit institutions 4 mortgage
oarwers
5702 insurance agents or ewers
5744 insurance services laooraisai.
consulting, msoecnon etc i
5130 investment advisors 4 services
5777 Otner tmanciai services
Manufacturing, Including
Printing & Publishing
3679 Aooaret 4 otner textile Droducts
• i "5 E^ectnc 4 electronic eduiomerw
•073 Faoncated metal oroducts
0638 Fcoa oroducts 4 oeverages
0810 Furniture 4 fixtures
3595 Leatner footwear nanooags. etc
0836 L.-noer 4 otner wooo oroducts
• 099 Macnmerv 4 macnme snoos
0877 °aoer 4 aiiied oroducts
•¦057 P"mary metai moustnes
;3S1 P> nung 4 Duonsning
' 032 Stone ciav. 4 giass oroducts
3653 Temne mm oroducts
¦ 383 Otner manufactunng ingustnes
Mining & Mineral Extraction
¦537 Coalmining
<1 ^ M*tai mifiinn
Services: Personal,
Professional, & Business
Services j
Amusement 4 Recreational Service* 1
9570 Bowunq centers |
9688 Motion oicture 4 taoe aismoution
1 allied services
3597 Motion oicture 4 video
oroouction
^539 Monon oicture tneaters
3557 Pnvsicai fitness facilities
5696 P'otessionai soorts 4 racing.
"Ciuding oromoters 4 managers I
9811 Theatrical oerrormers musicians. I
agents, orooucers 4 related
services i
9513 Vifleo taoe rental j
'537 Otner amusement 4 recreational
¦lervices
Automotive Sc -v.ces
:.s'3 Automo- .-entai or'easing.
¦•itnoui z- ver
c.953 Automotive -eoairs qenerai 4
-oecianzed
5339 Par«ing exceot vaiet
5896 Otner automotive services iwasn I
•owing etc i
Business 4 Personal Services |
"558 Accounting 4 ooonxeeoing
T7'6 AavertfSing exceot airect man
"682 Arcnitecturai services
8318 Baroer snoo ior oarceri ;
31 to Beauty snoo ior oeauticiani
5714 Cnio day care
5576 Communication services
"372 Comouter orogrammmg.
processing oata oreoaration 4 I
-stated services I
"922 Comouter reoair maintenance. 4 I
easing ¦
T236 Consulting services
""99 Consumer credit reooning 4
;onection services
3 755 Counseling lexceot neaitn
oractitionersi
6395 Courier or oacxaqe aenvery
! "732 Emoiovment aqencies 4
personnel suooiv
"5'8 Engineering services
"773 Eauiomeni renta i easing
exceot comou:
7260 P jOIic relations
5536 Puouc warenousinq
¦""08 Surveying services
3730 Teacnino or tutonnq
6510 Trasn coneaion wnnout ov;n aumo
6692 Utilities idumos. snowotowmg.
road Cleaning, etc.i
7380 Other Ousiness services
6882 Otner oersonai services
HotM 4 Other Lodqmg Places
7237 Camos 4 camoing Darns
7096 - iteis. moteis. 4 fourist nomes
72' omina 4 ooarding nouses
Launur/ & Claanmq Seoncea
7450 Caroet 4 uonoistery cleaning
7419 Coin-ooerated laurwnes 4 dry
cleaning
7435 Full-service aunary. ary cleaning
4 garment sennce
7476 Janitonai 4 related services
iouiidtng. nouse. 4 winaow
cleaning)
Madicai 4 Haaltx Senrtcea
9274
9233
9217
9456
9472
9290
9258
9241
9415
9431
9386
CMirocr actors
Dentist s office or cunic
Doctor's iM O ) office or cnnic
Meocai 4 aentai laooratores
Nursmg 4 oersonai care facilities
Ootometnsts
Osteooainic :nvsiciars 4 surgeons
Podiatnsts
Pedistereo 4 oracticai nurses
Offices 4 cunics ot otner neaitn
oractiTionen loienaans
-nigwives soeecn oatnoiogists
etc i
Oiner neaitn services
5033
Misceiianeoua Reoetr. Exceot
Comouters
9019 Audid eauioment 4 TV reoair
9035 E'ectncai 4 electronic eauioment t a6l4
•eoav. exceot audid 4 TV
9050 Furniture reoa* 4 reuondisterv 5384
2881 Otner eauioment reoair ___
Suddinq, Haroware. 4 Garden SupcMv
I 4416 3uiiding matenaa a eaters
! <>457 Hardware stores
| 1473 Nurseries 4 garden suooiy stores
! -1432 Paint, glass, 4 waitoaoer stores
j Food 4 Beverages
0612 Bakeries selling at retail
I 3086 Catering services
; 3095 Drinking oiaces loars. taverns,
i ouos. saioons. etc.i
3079 Eating oiaces. meais 4 snacxs
' 0210 Grocery stores igenerai nnei
• 3251 Louor stores
I 3236 Soecaii«a tooa stores (meat,
i srocuce. canov neaitn tooa etc i
. Furniture 4 General Merchandise
1 3988 Cornouter 4 software stores
| 3970 Furniture stores
I 4317 Home tumisneiqs st
'.«
6619 Air transoortation
Bus 4 limousine transoortation
Hignwav oassenqer transoortation
exceot cnanereo service 1
6114 Taxicaos
6635 Travel agents 4 tour ooerators
6338 ToicKinq lexceot trasn conectiori
6551 water transoonation
' 6650 Otner transoortation services
-------
SCHEDULE 0
(Form 1040)
Oeoanment of me Treasury
Internal Revenua Service l0)
Capital Gains and Losses
(And Reconciliation of Forms 1099-B for Bartering Transactions)
~ Attach to Form 1040. ~ See Instructions for Schedule 0 (Form 1040J.
~ For more space to list transactions for lines 1a and 8a. get Schedule D-1 (Form 1040).
0MB NO. 1545-00
H®91
Attacnmant
Saauanca No. 1J
Nameisi snown on form 1040
Your social tocunty m*
Caution: Add the following amounts reported fo you for 1991 on Forms 1099-8 ana 1099-S (or on suDSBtute statements): (a) proceeds
transactions involving stocks, oonas. and other secunties. and (b) gross proceeds from real estate transactions not reported on another ft
schedule. If this total does not ecual the total of lines !c and 8c. column (d), attach a statement explaining the difference.
Part 1
1 Short-Term Capital Gains and Losses—Assets Held One Year or Less
(«| Oescnotion Ot orooertv 1(b) Oat* acquired
' (Examoie. 100 snares 1% 1 yr (
creterreo ol ~Z~ Co.) !
(c) Data sou
(Mo., day. yr)
(d) Sales once
(see rotructionsi
(a) Cost or
other oass
(see mairucuoiai
(1) LOSS
if (el« mora man (d).
subtract id) from let
(a) gain
if (d) K mora than
suotract (el from
1 a Stocks. Bonds. Other Securities, and Real Estate. Include Form 1099-8 and 1099-S Transactions. See instructions.
1 1 ! '1 1
1 1 1 1 1
1 1 1 ' 1
1 !
I
1 i
i l
' ¦ 1 i
i
lb Amounts from Scneauie 0-1 'me io (attacn Scneauie 0-1)
1 c Total of All Sales Price Amounts.
Add column id) of lines la and lb ~ 1c
BIBB
m
MMUl
id Other Transactions (Do NOT include real estate transactions from Forms 1099-S on this line. Report them on line 1a.)
I !
¦ I
I I I ¦
I
I I
2 Short-term gam from sale or excnange of your nome from Form 2119. line 10 or 14c
3 Short-term gain from installment sales from Form 6252. line 22 or 30 .
4 Net snon-term gain or (loss) from partnersnips. S corporations, and fiducianes .
5 Short-term capital loss carryover from 1990 Schedule 0. line 29
6 Add lines 1a. ib. id. and 2 througn 5. m columns (f) and (g).
2
3
4
|
S
6
( : >!
7 Net short-term capital gain or (loss). Comome columns ifl and (q) of line 6 . 7|
33M Long-Term Capital Gains and Losses—Assets Held More Than One Year
3a Stocks. Bonds. Other Securities, and Real Estate. Include Form 1099-B and 1099-S Transactions. See instructions.
i I
I I
I I
I |
8b Amounts from Scheouia 0-1 ime 8b lattacn Scheauie
8c Total of All Sales Price Amounts.
Add column id) of lines 8a ana 8b • ~
L).1)
8c
fld Other Transactions (Do NOT include real estate transactions from Forms 1099-S on this line. Report them on line 8a.)
I ' i
9 Long-term gain from sale or excnange of your home from Form 2119. line 10 or 14c
10 long-term gain from installment sales from Form 6252. line 22 or 30
11 vet long-term gain or (loss) from Dartnersnios. S corporations. ana fiduciaries
12 CaDitai gain distributions . . . . .
13 Gain from Form 4797. line 7 or 9
14 Long-term caottai loss carryover from 1990 Schedule 0. line 36. . , .
15 Aad lines 8a. 8b. 8d. and 9 througn 14. m columns if) and (g)
16 Net long-term capital gain or (loss). Combine columns ifl ana (g) of line 15
15 l(
16 I
Cm Mo
¦'-» O 'CAM* IfW
-------
3cneouie 0 iForm iCMOt '991
Artacnnent Seauencs no 12A
=aq»
'lamwsi snown on rorm iCWj. [Co not enter name ana social sacurirv nunoer if snown on ot-er siae i
rour social M' a loss, enclose tne amount in parentneses
29 Enter the loss from une 18 as a positive amount ...
30 Comoine lines 28 and 29. If zero or less, enter -0-.
31 Enter tne smaller of line 29 or line 30 . . . .
28
29
30
31
Section B.—Short-Term Capital Loss Carryover to 1992 (Complete this section only if there is a loss on both lines 7 and 18.)
32 -Enter tne loss from line 7 as a positive amount 1^2 i
33 Enter the gain, if any. from une 16 ... | 33 '
34 Enter tne amount from line 31 . .
35 Aad lines 33 and 34
36 Short-term capital loaa carryover to 1992. SuDtract line 35 from line 32. If zero or less, enter -0-
34 I
36
Section C.—Long-Term Capital Loss Carryover to 1992 (Complete this section only if there is a loss on both lines 16 and 18.)
37
38
39
40
41
42
43
Enter tne loss from line 16 as a positive amount
Enter tne gain, if any, from line 7
Enter tne amount from line 31
Enter tne amount, if any. from line 32. ' *0 1
38 I
> 39
Subtract line 40 from 'me 39. if zero or iess. enter -0-
~dd lines 38 and 4i . .
Long-term capital loss carryover to 1992. Subtract line 42 from line 37. If zero or less, enter -0-
Part VI
Election Not To Use the Installment Method (Complete this part only if you elect out of the mstaltr-en-
method and report a note or other obligation at less than full face value.)
44 ChecK nere if you elect out of the installment metnod
45 Enter tne face amount of the note or otner oDiigation.
44 Enter tne ce'tentaqe of valuation of the note or otner ooiiqation
Part VII
~
~
Reconciliation of Forms 1099-B for Bartering Transactions | Amount oiibswenr"
(Complete this part if you received one or more Forms 1099-B or substitute from 1 ¦
statements reporting bartering income.)
09
substitute sta<
Ireoorted on »orm c
jle
47 Form 1040. line 22 .... ...
48 Schedule C. D, E. or F (Form 1040) (specify) ~
49 Other form or scnedule (identify) (if nontaxaoie. maicate reason—attach aaoitionai sneets if necessary):
50 Total. Aoo imes 47 througn 49. This amount snouid be the same as the total bartenng income on ail
gprma 1099-8 and substitute statements received for Dart en nq transactions
47
49
50
-------
SCHEDULE SE
(Form 1040)
Deoenmen of ma Tr%muy
interna* Revenue Seme*
Self-Employment Tax
~ See Instructions tor Schedule SE (Form 10401.
~ Attach to Form 1040.
OMB No. 154S-007
H®91
' Saaanca No. 17
Name of person with self-employment income las shown on Form 1040)
Social security numser of person
with setf-emptoyment income »
Who Must File Schedule SE
You must file Schedule SE if:
• Your net earnings from self-employment from other than church employee income (line 4 of Short Schedule SE
line 4c of Long Schedule SE) were $400 or more; OR
• You had church employee income (as defined in the instructions) of $108.28 or more:
AND
• Your wages (and tips) subiect to social security ANO Medicare tax (or railroad retirement tax) were less than
$125,000.
Exception: If your only self-employment income was from earnings as a minister, member of a religious order, or
Chnstian Science practitioner, ANO you filed Form 4361 and received IRS approval not to be taxed c
those earnings, DO NOT file Schedule SE. Instead, write "Exempt-form 4361" on Form 1040, line 4;
Note: Most people can use Short Schedule SE on this page. But you may have to use Long Schedule SE on the back.
Who MUST Use Long Schedule SE (Section B)
You must use Long Schedule SE if ANY of the following apply:
• You received wages or tips and the total of all of your wages (and tips) suoiect to social security, Medicare, or
railroad retirement tax plus your net earnings from self-employment is more than $53,400:
• You use either "optional method" to figure your net earnings from self employment (see Section B, Part II, ana
the instructions);
• You are a minister, member of a religious order, or Chnstian Science practitioner and you received IRS approv;
(by filing Form 4361) not to be taxed on your earnings from these sources, but you owe self-employment tax <
other earnings;
• You had church employee income of $108.28 or more that was reported to you on Form W-2; OR
• You received tips subiect to social secunty, Medicare, or railroad retirement tax. but you did not report
those os to your employer.
~ Section A—Short Schedule SE (Read above to see if you must use Long Schedule SE on the back (Section f
1 Net farm profit or (loss) from Scheouie F iForm 1040). line 37. and farm partnerships. Scheaule
K-1 (Form 1065), line 15a.
Net profit or (loss) frcm Schedule C (Form 1040), line 31. and Schedule K-1 (Form 1065). l:ne
15a (other than farming;. See instructors for other income to report ...
3 Comome lines 1 and 2 .
Net earnings from self-employment Multiply line 3 by .9235. If less than $400, do not file
this scnedule; you do not owe self-employment tax. Caution: If you received wages or tips, and
the total of your wages (and tips) suDiect to social secunty, Medicare, or railroad retirement tax
plus the amount on line 4 is more than S53.400, you cannot use Short Schedule SE. Instead,
use Long Schedule SE on trie Pack ~
Self-employment tax. If the amount on line 4. is:
• $53,400 or less, multiply line 4 by 15.3% (.153) and enter the result.
• More than $53,400. but less than $125,000. multiply the amount in excess of $53,400 by
2.9% (.029). AOd $8,170.20 to tne result and enter the total.
• $125,000 or more, enter $10,246.60.
Also enter this amount on Form 1040. line 47
I 4
Note: Also enter one-half of the amount from nne 5 on Form 1040, line 25.
For Paperwork Reduction Act Notica, sm Form 1040 Instructions.
Cat No. U3S8Z
Schedule SE (Form 1040
-------
Scneouie SE 'Fcrm IO-IOI 1991
Name ot Derson wnn serf-empioyment .ncome las snown on rorm 1040)
Atocnmem Seauence No 17
=*pe
: Social secuntv numoer ot oerson i
! with self-efno
-------
SCHEDULE E
(Form 1040)
2eo»nmem ot tne Treasury
-temai Severn® Service tO)
Supplemental Income and Loss
(From rents, royalties, partnersntps, estates, trusts. REMICs. etc.)
~ Attach to Form 1040 or Form 1041.
~ Sm Instructions tor Schedule E (Form 10401.
".'.'3 NO '.;.J5-vC7.»
)91
lir
Anacnmerrt
Seauonce no. 13
Nametsi snown on return
Your tociit Mcunty numocr
Income or Loss From Rentals and Royalties Note: Reoon farm rental income or ioss trom Form 4835 on oage 2. ¦':ne 39.
Part I
1 | Show tne kind ano location of eacn rental property;
For eacn rental orqoeny listed on
ime 1. did you or your ramify use
it for DersonaJ purposes for more
than tne greater of 1 4 days or
10% of the total days rented at
'air rental value during tne tax
•/ear? (See instructions.)
1 Yes i No
A
;
B
j
1
Rental and Royalty Income:
3 Rents received.
4 Royalties received
Properties
a
Totals
(Add columns A a. ana C.l
4 I
3 I
4 I
Rental and Royalty Expenses:
5 Advertising
6 Auto and travel
7 Cleaning ana maintenance
8 Commissions
9 Insurance
10 Legal and other orofessionai fees
11 Mortgage interest oaid to oanKs.
etc. (see instructions!
Other interest
Repairs
Supplies
Taxes
Utilities
Wages ano salaries
-Other (list) ~
9 I
10 I
11
12
13
14
15
16
17
18
12
13
14 I
i 15
16 I
17
18 I
19 Aao lines 5 througn 18
20 Deoreciation exoense or oeoietion
(see mstructionsi
Total exoenses. Add lines 19 and,20
i9
20 I
21
22
21 I.
23
Income or (loss) from rental or
royalty properties. Subtract line 2 1
from line 3 (rents) or line 4
(royamesi. If the result is a dossl.
see instructions to find out if you •
must file Form 6198 .
Deductible ventai loss. Caution:
Your renrai loss on nne 22 may oe
hmitea. See instructions to fma out
if vol/ must file Form 8582
22
23 11
)l(
(
24 Income. Add rental and rovaity income from nne 22. Enter tne total income nere
25 Losses. Add royalty losses from nne 22 an a rental losses from nne 23: Enter tne total losses nere
25 :'
26 Total rental ana rovaity income or iiossi. Comome lines 24 ano 25. Enter tne result nere. if Pans ii.
III. IV, ana ime 39 on oage 2 do not aDPiy to you. enter tne amount from nne 26 on Form >040.
ime 18 Otherwise, mciuoe tne amount from nne 26 m tne totat on nne 40 on oage 2
26
For Pao«rworK Reduction Act Notice. see Form 1040 instructions.
3at No l' J-S-iL
Schedule E iForm 10401 199
-------
Scr?©Ou 40
41 Reconciliation of Farming and Fishing Income: Enter your gross i
farming ano fishing income reoorted in Parts II and III and on nne 39 I
'see ipstoicnonsi 41 i
• -j 5 GPO '99i 0 28S-18I
-------
INDIVIDUALS
CHAPTER 7
In this chapter we will discuss analysis of an individual's ability to pay environmental costs
(e.g., pollution control expenditures and/or a penalty). You will most likely consult this chapter if
your review of a violating entity shows that:
i ) The business entity alone cannot pay environmental costs; and
2) The owner or shareholder is legally responsible for the business liabilities.
A shareholder of a Subchapter C or Subchapter S corporation might be personally
responsible for his or her company's liabilities if personal and corporate funds have been
intermingled. Known as "piercing the corporate veil," such activity can violate a shareholder's
liability protection. These situations are often difficult to identify or substantiate, however. If you
suspect that a corporate shareholder has, in fact, mixed personal and corporate finances, consult a
financial analyst for assistance in investigating and documenting personal liability.
As discussed in Chapter 5, individuals who are partners in a partnership are personally
responsible for the actions and liabilities of their business. If your review of a partnership indicates
that the business cannot pay environmental costs, use the worksheets in this chapter to analyze the
financial resources of individual partners.1
To complete the analysis in this chapter, you will have to collect additional information on
each relevant individual. Request that each provide copies of income tax returns for the past three
years (Form 1040 and all attached schedules). Individuals should also complete and return to the
EPA an Individual Financial Data Request Form (IFDRF). This form requests specific information
on the assets, liabilities and expenses of the individual's household.
1 Remember that corporations and other partnerships can also be partners. Consult the
appropriate chapter for these entities.
7-1
-------
As with the ability to pay analyses for business entities, a review of an individual's financial
capabilities requires that EPA judge what burden is fair and reasonable for the responsible party.
One of the concerns in assessing penalties for business entities is that the burden not materially
affect its operations or ability to do business. Likewise with individuals, the environmental costs
should not create an undue financial hardship. Therefore, in the following analysis relies on several
general guidelines to determine available cash flow and equity. These guidelines are based on the
individuals employment situation, family size, and income. We will explain these guidelines as we
review the worksheet.
Before proceeding with this chapter, be certain that you have read Chapter 2, as it contains
important information on the questions in this worksheet.
Section I - General Information
The first section of the worksheet summarizes basic information about the individual.
• Individual's Name. On Line 1, enter the individual's name.
• Address. On Line 2, note the individual's address.
• Business Name. On Line 3, enter the name of the business entity already
analyzed.
• Business analysis summary. On Line 4, summarize your review of the
business entity. Are any funds available through the business? What portion
of the original penalty can be paid through business resources.
• Other parties involved. On Line 5, list names of other parties involved in
this case. What other individuals or businesses must be analyzed?
Section II - Income
In Section II, we evaluate the individual's income as reported in the most recent Form 1040
income tax return. This income will include any proceeds from the business entity, as well as any
other income reported on his or her most recent Form 1040.
• Tax returns and schedules. On Line 6, note the income tax returns and
schedules provided, along with the year for each return.
• Wage income. On Line 7 enter the individual's wage income as reported on
Line 7 of Form 1040.:
2 Throughout this chapter, references to Form 1040 are for the 1991 version of Form 1040. The
location of items may differ for previous years' forms.
7-2
-------
• Taxable interest income. From Line 8a on the 1040 return, note if the
violator has claimed taxable interest income. Enter this amount on Line 8.
Examples of taxable interest income include interest from checking and
savings accounts and interest from bonds and treasury bills. (See the Form
1040 Instruction Booklet for a full explanation of each line entry.)
• Tax-exempt interest income. From Line 8b on Form 1040, note if the
violator has claimed tax exempt interest income. Enter this amount on Line
9. An example of tax-exempt interest is the interest earned on a municipal
bond.
• Dividend income. On Line 10 of the worksheet, enter any dividend income
reported in Line 9 of the income tax return.
• Alimony received. On Line 11 of the worksheet, enter alimony reported in
Line 11 of the income tax return.
• Total IRA distributions. On Line 12 of the worksheet, enter any
distributions from IRA funds reported in Line 16 of the income tax return.
If an entry is made in both Line 16a (total value) and Line 16b (taxable
portion), enter the amount from Line 16a. However, if the IRA distribution
is fully taxable, an entry will be made in Line 16b only. If this is the case,
enter the amount from Line 16b.
• Total pensions and annuities. On Line 13 of the worksheet, enter any
pension and annuity, income reported in Line 17 of the income tax return.
If an entry is made in both Line 17a (total value) and Line 17b (taxable
portion), enter the amount from Line 17a. However, if the pension is fully
taxable, an entry will be made in Line 17b only. If this is the case, enter the
amount from Line 17b.
• Total social security. On Line 14 of the worksheet, enter any social security
income reported in Line 21a of the income tax return. Be careful to enter
the value on 21a (the total) and not the value to the far right Line 21b. The
value in Line 21b represents only the taxable social security; here we want to
account for all income.
On Line 15 of the worksheet, we sum all of the individual's proposed income (Lines 7
through 14). Next we examine the individual's business and trust income.
• Business income. From Line 12 of Form 1040, note if the violator has
claimed any business income. Enter this amount on Line 16 of the
worksheet. If an entry was made on Line 12 of Form 1040, a Schedule C
must accompany the individual's Form 1040 income tax return.
7-3
-------
Total income from rental or royalty properties. Note on Line 18 of Form
1040 that the filer is asked to record income from rents, royalties,
partnerships, estates and trusts. To get detail on each of these income
sources, we need to consult Schedule E. If an entiy is made in Line 18, a
Schedule E must accompany Form 1040. Enter this amount on Line 17 of
the worksheet.
Depreciation or depletion on rental property. Recall from the business
analysis that to calculate net business cash flow, we add back the depletion
and depreciation expenses claimed on the income tax form. In a similar
fashion, we add back depreciation on an individual's rental property to
calculate the cash flow from this asset. Take the total of Line 20 from the
Schedule E, and enter this amount on Line 18.
Partneiship/Subchapter S corporation income. Also on Schedule E, violators
must detail income or loss from Partnerships and Subchapter S Corporations.
The total income from these sources is recorded in Part II of Schedule E, on
Line 31. Enter this amount on Line 19 of the worksheet.
Estate and trust income. Also on Schedule E, violators must detail income
or loss from Estates or Trusts. The total income from these sources is
recorded on Line 36 of Schedule E. Enter this amount on Line 20 of the
worksheet.
REMIC income. Also on Schedule E, violators must detail income (or loss)
they receive as a holder c a residual interest in a Real Estate Mortgage
Investment Conduit (REMiC). The total income from these sources is
recorded on Line 38 of Schedule E. Enter this amount on Line 21 of the
worksheet.
Farm rental income. If a violator has received income from farm property
that he or she is renting to someone else, this income must be declared on
a Schedule E. Note if income has been recorded on Line 39 of the Schedule
E. If so, enter this amount on Line 22 of the worksheet.
Depreciation on farrr rental income. Individuals can claim depreciation
expenses on the fam property they rent to others, just as they do on other
rental properties. Enter this amount on Line 23. We add this expense back
when calculating cash flow.
-------
• Farm income. A violator must submit a Schedule F to report income and
expenses from a farm that he or she operates, or owns and operates.3 If an
entry was made in Line 19 of the Form 1040 return, a Schedule F must
accompany the Form 1040 return. If income is declared on Line 19 of Form
1040, enter this figure on Line 24 of the worksheet.
• Depreciation on fann property. Depreciation on farm property and
equipment is recorded on Line 17 of the Schedule F. As with depreciation
on other types of property, this expense is added back to calculate cash flow.
On Line 25 of the worksheet, enter the amount reported on Line 17 of the
Schedule F.
On Line 26, we add together all of the individual's business and trust income entered on
Lines 16 through 25. Next, we look at the individual's extraordinary income, that is, income earned
from the sale or exchange of a capital asset, or the sale or exchange of business property. (For a
full description of Schedule D and its applications, refer to the Form 1040 Instruction booklet.) If
a violator has made an entry in Lines 13 or 14 of Form 1040, he or she must include a Schedule D
detailing short- and long-term capital gains and losses. We record this information on Lines 27
through 29 of the worksheet.
• Capital gain (loss). From Form 1040, add Lines 13 and 14 and enter this
total on Line 27 of the worksheet.
• Other gains (losses). Enter the amount recorded on Line 15 of Form 1040
on Line 28 of the worksheet.
• Total extraordinary income. Add Lines 27 and 28 of the worksheet to
determine the individual's total extraordinary income. Enter this total on
Line 29.
On Line 30 of the worksheet, we calculate the individual's total income by adding together
his or her personal, business and extraordinary income. Sum the amounts in Lines 15, 26, and 29
for this total. We next want to determine what portion of the individual's income comes from each
of the three categories we've examined. To calculate these percentages, divide each subtotal by total
income.
® Percentage personal income. Divide Line 15 by total income recorded in
Line 30. Enter this percentage on Line 31.
3 Normally, farmers report income from a crop in the year it is sold. However, because farmers
can pledge pan or all of their production to secure government payments (e.g., CCC loans, PIK
certificates), they can elect to report a payment as income in the year it is received, rather than the
year of crop sale. If claimed as income these payments will be noted on Line 7A of Schedule F.
While these loans represent income, we do not recommend that they be treated as cash.
7-5
-------
• Percentage business and trust income. Divide Line 26 by total income
recorded in Line 30. Enter this amount on Line 32.
• Percentage extraordinary income. Divide Line 29 by total income recorded
in Line 30. Enter this amount on Line 31.
In some instances, a large share of an individual's income may come from business and
investment activities, or from capital gains. For these individuals an analysis of cash flow and net
worth might be more complicated. Calculating the portion of income coming from each source
draws our attention to these cases, and lets us know that expert advice may be required for the case.
Next we want to determine how the individual's income compares to that of households of
similar size in his or her state or area. Median family income information can usually be obtained
from local Housing and Urban Development (HUD) offices, or from local Farmers Home
Administration (FmHA) offices. Households with income significantly below the median for their
area may not be able to afford to contribute to environmental costs.
Section HI - Net Cash Flow
The next step in our analysis involves determining the individual's cash flow. A simple way
to think of cash flow is the income left over after paying all cash expenses during a year. In
calculating expenses, we use data from the Current Living Expenses section of the Financial Data
Request Form (Part II).
• Total annual living expenses. Go to Part II of the Individual's Financial Data
Form. Space for converting data to annual values is provided in the "For
Agency Use Only" column in the Current Living Expenses Section (Part II).
For weekly expenses, multiply by 52 and put the total in the "For Agency Use
Only" column. For monthly expenses multiply by 12; and for quarterly
expenses multiply by 4. Sum this column of figures and enter the total on
Line 34 of the worksheet.
• Total annual debt payment Enter the individual's total annual debt
expenses. An individual's current debt expenses are important to
determining the individual's ability to acquire additional debt for site
assessment or cleanup costs. Total lines B.l through B.4 on the Current
Living Expenses Form and enter this amount on Line 35 of the worksheet.
• Cash Flow. Subtract Line 34 from Line 30 for the individual's after-tax cash
flow.4
4 Notice that the Individual Financial Data Request Form contains information about the
individual's Federal income tax payments (Part II, Line D.2). Because we subtract these payments
from the individual's cash income, the resulting net cash-flow is in after-tax terms.
7-6
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• Percentage debt to total income. Here we consider what portion of an
individual's income is directed towards debt payment. The extent of current
debt will determine how much additional debt a violator may be able to
assume for environmental costs. Violators who are currently directing more
than 36 percent of their income towards debt payment will probably not have
the capacity to acquire additional debt (in fact, they may be denied funds by
a lending institution). To calculate an individual's percentage debt expense,
simply divide his or her annual debt expense (Line 35) by his or her total
income (Line 30) and record this figure on Line 37.
Expense Evaluation
We now want, to estimate whether the violator could improve his or her cash flow by
reducing personal expenses. Examine personal expenses (detailed in Part II "Current Living
Expenses" of the IFDRF). Do any of them seem out-of-line? It might help to compare the
violator's expenses to those noted in the Consumer Price Index measure of the relative importance
of household expenditures (see Appendix B). This index lists the percentage of income spent on
certain goods and services for the average U.S. urban household. Individual expenses clearly will
vary from these measures, but the index might be a useful guide for determining the general range
of household expenses. On the worksheet, note the expenses that seem to be high, along with the
reductions you think might be possible.
• Expense Category. List the expenses that you believe are inflated, or that
can be reduced without significantly affecting the individual's standard of
living.
• Amount Note the annual amount for each expense that you believe can be
reduced.
• Possible reduction. Enter the reduction that you find to be reasonable.
• Justification for reduction. Describe here your reasons for any possible
reductions.
• Total possible reduction in expenses. Sum ail possible reductions in
expenses. Enter this total on Line 38.
• Estimated adjusted cash flow. Add any possible reductions in expenses to
after-tax cash flow and enter this figure on Line 39. This total represents
additional cash flow that the violator may be able to generate if expenses can
be reduced.
7-7
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Section IV - Net Worth
The next section of evaluates the individual's net worth. Here we assess an individual's total
assets and liabilities. The data for this analysis come from the Net Worth Section (Part III) of the
Individual Financial Data Request Form.
Part A - Assets
• Bank accounts. Enter the subtotal from Question 1 on Line 40 of this
worksheet.
• Investments. On Line 41 of the worksheet, enter the subtotal for the
individual's investments.
• Retirement funds and accounts. Enter the subtotal from this question on
Line 42.
• Life insurance policies. Enter the subtotal from Question 4 on Line 43.
• Vehicles. Enter the individual's estimate of the value of his vehicles on
Line 44.
• Personal property. On Line 45 of the worksheet, enter the value of the
individual's personal property.
• Real estate. On Line 46 of the worksheet, enter the subtotal for the value
of all real estate.
• Other assets. In Question 8, the violator totals the value of all other assets.
Enter this amount on Line 47.
• Total assets* Add Lines 40 through 47 on the worksheet and enter this
amount on Line 48.
Part B - Asset Evaluation
Our next step is to determine if any of the reported personal assets are undervalued. Review
the list of assets carefully. Do the given values seem reasonable? The worth of assets valued at over
$5,000 should be double-checked against outside sources. Vehicle values are published in industry
"blue books," available at car dealerships. Industrv analysts or associations can often estimate the
value of business or industrial equipment. Councy or local property assessors should be able to
verify the value of land and/or buildings in their jurisdiction. Provide information in this sectjon on
only those assets that are undervalued.
• Asset and use. Describe the asset and its use.
"7-8
-------
• Book value. Note the value as stated on the Individual Financial Data
Request Form.
• Estimated market value. Note the market value of the asset and the source
for this information.
• Value difference. Subtract the book value from the market value and enter
this difference in the column.
• Additional asset value total Sum the additional asset values and enter this
figure on Line 49.
• Revised asset total. Add the value in Line 49 to total assets on Line 48 for
a revised total.
Part C - Liabilities
We next review liabilities. On Lines 51 through 55, enter information about the individual's
personal liabilities. Again, the data for our analysis come from the Net Worth Section (Part III) of
the Individual Financial Data Request Form.
• Credit cards and lines of credit On Line 51, enter credit debt for the
violator.
• Vehicle loans. On Line 52, enter the subtotal for all car loans.
• Furniture and household goods loans. On Line 53, enter any debt acquired
for household goods.
• Mortgages and real estate loans. Enter outstanding mortgage on real estate
loans on Line 54.
• Other debt On Line 55, note whether violator has listed any other debt.
• Total liabilities. On Line 56, total all of the violator's liabilities (Lines 51
through 55).
Part D - Net Worth Calculation
Once you have reviewed and totaled the value of all personal assets and liabilities, you can
calculate net worth.
• Net worth. Subtract Line 56 from Line 50 to determine the individual's net
worth. Keep in mind that this can be a negative number. Negative net
worth simply means that an individual's debt is greater than the value of his
or her assets. Enter this amount on Line 57.
7-9
-------
• Liability-to-asset ratio. Divide Line 56 by Line 50 and enter this percentage
on Line 58. This ratio shows the percentage by which the individual's assets
are offset by liabilities.
Section V - Case Disposition
To determine and individual's ability to pay, we follow the same basic steps that we used for
a sole proprietorship (in Chapter 6). First we assess the violator's cash flow, that is, the amount of
income remaining after deducting all expenses. Next, we assess the individual's net worth, that is,
the value of all personal and business assets after deducting liabilities or debt.
Part A - Cash Flow
In Section III above you calculated net cash flow for the violator. The purpose of this
calculation is to determine what amount, if any, the individual might be able to contribute towards
a penalty payment out of readily available funds. In assessing the portion of this amount that might
go towards a penalty, it is a good idea to set aside an "emergency" or contingency allowance to cover
unexpected expenses in the year ahead. This contingency amount should equal between five and
fifteen percent of the violator's total annual business and personal expenses. The percentage EPA
elects to set aside should be based on the violator's income level relative to national or local
medians and family size, with a higher contingency percentage applied to lower-income households.
• After-tax cash flow. Enter the amount from Line 39 of this worksheet.
• Contingency percentage. Enter the percentage of expenses for the violator's
contingency.
• Contingency amount Multiple the percentage on Line 60 by the value on
Line 39 for the proprietor's contingency amount.
• Estimated available after-tax cash flow (net of contingency). Subtract Line
61 from Line 39 for the individual's available cash flow and enter the result
on Line 62. This is an estimate of the cash flow the individual might be able
to produce, provided his or her income remains fairly constant.
Part B - Net Worth Assessment
The next step is to determine if the violator might be able to pay a penalty via the sale of
some assets or assuming additional debt. In Part E of Section V above, you calculated the
individual's net worth. We now want to determine what portion of net worth might be available for
environmental costs. As a general rule of thumb, low income individuals or individuals on fixed
incomes should maintain a liability-to-asset ratio of 0.5 to 0.6 (in other words, liabilities should not
be greater than 60 percent of assets). If the individual's liability-to-asset ratio is above this value,
financing a penalty through a loan should not be considered, nor should asset liquidation. As an
7-10
-------
individual's income rises, the target liability-to-asset ratio can be relaxed somewhat, to perhaps 0.7
to 0.8 for higher income individuals who can pay off debt over a longer period.
You must also consider what portion of the violator's income is applied toward current debt.
The criteria generally applied by banks and other lending institutions is that an individual's total
debt (mortgage, credit cards and other loans) should not exceed 36 percent of income.
• Net worth. On Line 63, enter the net worth figure from Line 57 above.
• Target liability-to-asset ratio. On Line 64, enter the target ratio you will
apply to this violator.
• Target assets. Multiply the ratio in Line 64 by total liabilities on Line 56 to
determine what portion of assets the violator should maintain. Enter this
amount on Line 65.
• Estimated available assets. Subtract the value on Line 65 above from total
assets on Line 48. Enter this amount on Line 66. This amount represents
the assets that the individual might be able to produce or borrow against to
fund environmental costs.
The cash flow and net worth calculations give us an estimate of the funds available for a
penalty. Again, it is important to point out that this analysis requires a measure of judgment as to
the violator's "ability to pay." We have tried to provide enforcement staff with a framework for
assessing an individual's cash flow and available assets; however, the guidelines are general and are
not meant to serve as "hard-and-fast" rules.
7-11
-------
Individual Financial Data Request Form
This form requests information regarding your personal financial status. The data will be used to evaluate
your ability to pay for environmental clean-up or penalties. If there is not enough space for your answers,
please use additional sheets of paper. Note that we may request further documentation of any of your
responses. We welcome any other information you wish to provide supporting your case, particularly if
you feel your situation is not adequately described through the information requested here.
Certification
I declare that this statement of assets, liabilities, and other information is true, correct, and complete to
the best of my knowledge and belief.
Signature Date
1
-------
PART I. BACKGROUND INFORMATION
1. MEMBERS OP HOUSEHOLD (List the head of the household and all persons living with you)
Name
Age
Relationship to Head
of Household
Currently
Employed?
2. EMPLOYMENT (List aQ jobs held by persons in household)
Name
Employer
Length of
Employment
Annual
Salary
2
-------
part n. current living expenses
P'ease list personal living expenses which were typical during the last year and indicate if any of these values are
jely to change significantly in the current year. Please do not include business expenses. If you are the owner
an operating business, please attachment any available financial statements.
Expense
Amount
Period of Payment (check one)
For Agency Use Only
Weekff
Monthly
Quarterly
Yariy
A. Living Expenses
1. Rent
2. Home maintenance
3. Auto fuel maintiother transp.
4. Utilities
a. Fuel (gas,oil,wood,propane)
b. Electric
c. Water/sewer
d. Telephone
5. Food
6. Clothing, personal care
7. Medical costs
I 3. Debt Payments
1. Mortgage payments
- 2. Car payments
3. Credit card payments
'
4. Educational loan payments
C. Insurance
1. Household insurance
2. Life insurance
3. Automobile insurance
4. Medical insurance
D. Taxes
1. Property taxes
2. Federal income taxes
3. State income taxes
4. FICA
E. Other Expenses
I. Childcare
2. Current School tuition/expenses
3. Legal or professional services
4. Other (itemize on separate page)
Total Current Expenses
-------
PART m. NET WORTH
J 1 1 . ,
1. BANK ACCOUNTS (Checking, NOW, Savings, Money Market, etc.)
Name of Bank or Credit Union
Type of Account
Current Balance
For Agency Use Only - Total Current Balance in Bank Accounts
2. INVESTMENTS (Stock, Bonds, Mutual Funds, Options, Futures, CD's, Real Estate Investment Trusts
(REIT), etc.)
Investment
Number of Shares or Units
Current Market Value
For Agency Use Only - Total Current Market Value of Investments
3. RETIREMENT FUNDS AND ACCOUNTS (IRA, 401(k), Keough, vested interest in company retirement
fund, etc.)
Description of Account
Estimated Market Value
For Agency Use Only • Total Estimated Market Value of Retirement Funds and
Accounts
4. LIFE INSURANCE POLICIES
Policy Holder
Issuing Company
Policy Value
Cash Value
-
For Agency Use Only - Total Value of Life Insurance Policies
1
4
-------
JL
VEHICLES (Can, Trucks, Motorcydes, Recreation Vehicles, Motor Homes, Boats, Airplanes, etc.)
Estimated Market Value
Year
Model
For Agency Use Only - Total Estimated Market Value of Vehicles
6. PERSONAL PROPERTY (Household Goods and Furniture, Jewelry, Art, Antiques, Collections, Precious |
Metals, etc. Only list items with a value greater than $500.00)
Type of Property
Estimated Market Value
por Agency Use Only - Total Estimated Market Value of Personal Property
7. REAL ESTATE (Land, Buildings, Land with Building?)
Location
Description of Property
Estimated Market Value
For Agency Use Only - Total Estimated Market Value of Real Estate
8. OTHER ASSETS
Type of Asset
Estimated Market Value
¦
| For Agency Use Only - Total Other Assets
5
-------
9. CREDIT CARDS AND LINES OF CREDIT "
Credit Card/Line of Credit (Type)
Owed To
Balance Due
For Agency Use Only - Total Balance Due on Credit Cards and Lines of Credit
10. VEHICLE LOANS (Cars, Tracks, Motorcycles, Recreation Vehicles, Motor Homes, Boats, Airplanes,
etc.)
Vehicle (Model and Year)
Owed To
Balance Due
For Agency Use Only - Total Balance Due on Vehicle Loans
11. FURNITURE AND HOUSEHOLD GOODS LOANS:
List Item
Owed To
Balance Due
For Agency Use Only - Total Balance Due on Furniture and Household Goods
Loans
12. MORTGAGES AND REAL ESTATE LOANS
Type of Loan
Owed To
Property Secured
Against
Balance Due
For Agency Use Only - Total Balance Due on Mortgages and Real Estate Loans
6
-------
' 13. OTHER DEBT (Amounts due to individuals, Fixed obligations, Taxes Owed, Overdue Alimony or Child
' Support, etc.)
Type of Debt
Owed To
Balance Due
For Agency Use Only - Total Balance Due on Other Debt
¦
7
-------
PART IV. ADDITIONAL INFORMATION
Please respond to the following questions. For any question that you answer "Yes," please pri
additional information on separate pages or at the bottom of this page.
QUESTION
YES
NO
1. Do you have any reason to believe that your financial situation will change
during the next year?
2. Are you currently selling or purchasing any real estate?
3. Are you involved or affiliated with any other sole proprietorships, parterships
or corporations?
4. Is anyone (or any entity) holding real or personal property on your behalf
(e.g., a trust)?
5. Are you a party in any pending lawsuit?
6. Have any of your belongings been repossessed in the last three years?
,
• »
7. Are you a Trustee, Executor, or \dministrator?
8. Are you a participant or beneficiary of an estate or profit sharing plan?
9. Have you declared bankruptcy in the last seven years?
10. Do you receive any type of federal aid or public assistance?
8
-------
INDIVIDUAL
EXTENDED ABEL ANALYSIS
Section L General Information
1.
Individual's Name:
2.
Address:
3.
Business address:
4.
Business analysis summary:
5.
Other parties involved:
Section LL Income
6. Tax returns and schedules available
Year prepared
-------
INDIVIDUAL
EXTENDED ABEL ANALYSIS
Section IL Income (continued)
Part A. Personal Income
7. Wage income
8. Taxable interest income
9. Tax-exempt interest income
10. Dividend income
11. Alimony received
12. Total IRA distributions
13. Total pensions and annuities
14. Total social security
15. Total personal income
(add Lines 7 through 14)
$
$
$
$
$
$
$
$
$
-------
INDIVIDUAL
EXTENDED ABEL ANALYSIS
Section EL Income (continued)
Part B. Business and Trust Income
16. Business income
17. Total income from rental or royalty properties
18. Depreciation or depletion on rental property
19. Partnership/Subchapter S corporation income
20. Estate and trust income
21. REMIC income
22. Farm rental income
23. Depreciation on farm rental income
$
$
$
S
$
$
$
•>
24. Farm income
23. Depreciation on farm property
26. Total business and trust income
(add Lines 16 through 25)
$
$
-------
INDIVIDUAL
EXTENDED ABEL ANALYSIS
Section EL Income (continued)
Part C Extraordinary Income
27. Capital gain (loss)
28. Other gains (losses)
29. Total extraordinary income (add Lines 27 and 28)
30. Total income (add Lines 15, 26 and 29)
31. Percentage personal income to total income
(divide Line 15 by Line 30)
$
$
%
$
$
32. Percentage business and trust income to total
income (divide Line 26 by Line 30)
%
-33. Percentage extraordinary income to total income
(divide Line 29 by Line 30)
%
-------
INDIVIDUAL
EXTENDED ABEL ANALYSIS
Section HL Net Cash Flow
34. Total annual living expenses
(convert all expenses from Part II of the
Financial Data Request Form to annual
values and sum)
35. Total annual debt payments
36. After-tax cash flow (subtract Line 34 from Line 30)
37. Percentage debt to total income
(divide Line 35 by Line 30)
$
$
$
%
Expense Evaluation
Expense Category
Amount
Possible
Reduction
Justification
for Reduction
$
$
$
$
$
$
$
$
$
$
38. Total possible reduction in expenses
(add items detailed above)
$
39. Estimate of adjusted cash flow
(add Line 38 and Line 36)
$
-------
INDIVIDUAL
EXTENDED ABEL ANALYSIS
Section [V. Net Worth
Part A. Assets
40. Bank accounts (Part III of Individual Financial Data Request
form, total from III.l)
$
41. Investments (Part III of Individual Financial Data Request form,
total from III.2)
S
42. Retirement funds and accounts (Part III of Individual Financial
Data Request form, total from III.3)
$
43. Life insurance policies (Part III of Individual Financial Data
Request form, total from III.4)
$
44. Vehicles (Part III of Individual Financial Data Request form,
total from III.5)
$
45. Personal property (Part III of Individual Financial Data Request
form, total from III.6)
$
46. ileal estate (Part III of Individual Financial Data Request form,
total from III.7)
S
47. Other assets (Part III of Individual Financial Data Request
form, total from III.8)
$
48. Total assets (sum Lines 40 through 47)
$
-------
INDIVIDUAL
EXTENDED ABEL ANALYSIS
Section VL Net Worth (continued)
Part B. Asset Evaluation
Asset and Use
Book Value
Estimated
Market Value
Value
Difference
49. Total estimated excess value of assets
$
50. Revised asset total
(Line 48 + Line 493)
$
Part C Liabilities
51. Credit cards and lines of credit (Part III of Individual Financial
Data Request form, total from III.9)
52. Vehicle loans (Part III of Individual Financial Data Request
form, total from 111.10)
53. Furniture and household goods loans (Part III of Individual
Financial Data Request form, total from 111.11)
54. Mortgages and real estate loans (Part III of Individual Financial
Data Request form, total from III. 12)
55. Other debt (Part III of Individual Financial Data Request form,
total from III. 13)
$
$
$
$
$
56. Total liabilities (sum Lines 51 through 55)
$
-------
INDIVIDUAL
EXTENDED ABEL ANALYSIS
Section VL Net Worth (continued)
Paxt D. Net Worth Calculation
57. Net Worth (subtract Line 56 from Line 50)
58. Liability-to-Asset Ratio (divide Line 56 by Line 50)
%
$
Section VTL Case Disposition
Part A. Cash Flow
59. After-tax cash flow (from Line 36)
60. Contingency percentage
(enter the contingency percentage for expenses)
61. Contingency amount (multiply Line 60 by Line 59)
$
$
%
62. Estimated available after-tax cash flow net of contingency
(subtract Line 61 from Line 59)
$
.
-------
INDIVIDUAL
EXTENDED ABEL ANALYSIS
Paxt B. Net Worth Assessment
63. Net Worth (from Line 57 above)
64. Target Liability-to-Asset Ratio
65. Target assets (divide line 56 by Line 64)
66. Potentially available assets (subtract Line 65 from Line 48)
Analyst's Name
Date
-------
11040
r«ni ii iiiii ot tn» Traaaury—wtarrai Revenue Oerwce
U.S. Individual Income Tax Return
ijf91
iB)
Label
(See
for me year Jen.-Oec. 3V '991 or otner tax vmt oegmnmg
1991. enema
• 1# I 0M9 NO. 1346-007
f
L
Your first name and initial List
rwm
Your soetal eeeunty numoer
instructions
on saga 11)
Use tne iRS
lab*.
Otherwise.
a
a
k
if a pun return, iooum i first name ino initial Usi
nam#
Soouaai eeoal aecunty nume
H
1
Home addreaa inumoar ana streeo. (if you nave a P 0. Box. u
» MQI 11.)
Apt no.
For Privacy Act and
Ptpbrwocte Reduction
piaaae onm
or type.
Pmidantial
R
(
City, town or ooet office, state, ana ZIP eooe. (If you nave a fc
irvtgn iOdrttt.
tee oage 11.
J
Act Netie*, a««
Inatmcttona.
Election Campaign
(See oage 11)
~
Oo you want S1 to go to this fund?
If toint return, does your spouse want >1 to go to this fund?
Neeas Ct^aang *r»i" »
"or enange your ax or
rvouca your mtuna.
Filing Status
Check only
one oox.
Slngt#
Mameo filing |oint return (even if only one had income)
Mamed Wing Moarata return. Enter icons* I social tecunty no. iom and fun name nere. ~
Head of household (with qualifying person*. (Seepage 12.) If the qualifying person m a child but not your depender
enter thu child's name here. ~ .
Qualifying wtdowien with dependent cniid (year spouae died ~ 19
(See oaqe 12.)
Exemptions
iSee oage 12.)
if more than six
depenaents.
see page i3.
Sa Q YouraeM. If, you parent (or someone wsat can claim you as a dependant on his or her tax
return, ao not eftectt do* 6a. But be sure to check the box on Nne 33b on page 2
0#pcnd#fTtK
(1) Name (first initial, ana last nimei
(2) Cheat
il unaer
wet
(3) if age i or oider.
deoenoenrs socal seainty
numoer
(4) Oeoenoenrs
reittonilNQ to
vou
15) No. at mourns
vianwjw
nomt n 1991
• , ;
Da.«lam
Omtat ea la
He. etfaar
cttttaa Mk
d if your cnitt didn t irve with you out a daimed a your dependent under a pn-iSSS agreement check here
e Total numoer of exemotions claimed
~
Income
Attach
Copy B of your
Forma W-2.
W-2Q, and
1099-R here.
if you aid not
get a w-2. see
cage 10.
Attacn cnecK or
money oraer on
too of any
porms W-2.
W-2G. or
1099-R
7
ta
b
9
10
11
12
13
14
15
16*
17a
18
19
20
21 ¦
22
23
Wages, salaries, tips. etc. (attach Fotwis) W-2)
Taxable interest income (alto attach Schedule 8 it over 5400) .
Tai-enm# interest income (see oagt 16) DON'T include on una 8a L§5_
Dividend income la/so attacn ScheabUe 8 if over S400) . . .
Taxable refunds of state arw local income taxes, if any. from wonaneet on page 18 . .
Alimony receded
Suainess income or nossi (attach ScneduM C)
Capital gam or (lossi (attacn Schedule 0)
Capital gain distnbutions not reoorted on line 13 (see page 17)
Other,gains or (losaesi (attacn Form 4797)
Total IRA distnbutions . I 16b Taxaflie amount (sea oage
Total pensions ana annuities LlZU . 17b Taxifiie amount (seo page
17)
17)
Rents, royalties. oartnersmos. estate*, trusts, etc. (attach Schedule £)....
Farm income or (loss) tartacn Schedu/e F)
Unemoioyment compensation (insurance) (see page 16)
Social security oenefita. I 21 * I ' 21b Taufila amount (sea page
Other income (list type and amount—see oage 19)
jod the amounts snown m me far ngnt column for unea 7 through 22. TWa is your total
18)
13.
11
12
14
19
IZfiJ
1$
19
20
21fij
Adjustments
to Income
iSae oage 19.)
24b
25
JS_
27
Z— iRA deduction, from aocucaoie wonuneet on oage 20 or 21
b Soouse s iPA deduction* from tooncaeie woruneet on oage 20 or 21
28 One-naif ct seif-emoioyment tax (see oage 21) .
29 Seff-emoioyed neartn insurance deduction from worasneet on case 22 .
27 Keogn retirement oian ana seif-emoioyed SEP deduction
28 Penalty on early withdrawal of savings
29 Alimony paid. Recwenrs SSN ~
30 Agd lines 24a tri rough 29. These are vour total edluetmems ' . . . .
31 SuOtract nne 30 from nne 23. This « your edtuetea aroee income. it tfitt amount it mta
S31.250 ana a cniio irvoo witn you. see oege *5 to tina out it you can aum tne "Earned /i
Credit" on una Si
J&L
23
Adjusted
Gross Incnmft
tnan
le
~
31
-------
1040 (1991)
Pigt 2
Tax
Compu-
tation
If you want
the IRS to
figur* your
tax. see oaga
24.
32
33a
b
c
34
•ne
larger
of
your.
35
36
37
36
39
40
Amount from una 31 (adiusted gross income)
Check if: G You were 65. or otoer. Q Blind; Q Spouse was 65 or older, [ J Blind.
Add the number of boxes cnecxed aoove and enter me total here ... ^ 33a
if your parent (or someone else) can claim you as a dependent. check her* ~ 33b
If you are mamed filing a separate return and your soouse itemizes deductions,
or you are a dual-status alien, see page 23 and cneck nere ~ 33e ~
' ftem«*d deductions (from Schedule A. line 26). OR
Enter standard deduction (shown below for your filing status). Caution: H you
cr.icna any Doxonimo33aort),goto page 23 to find your itanoaro
' oenuction. if you enoekoa box 33c. your ttanotn deduction a wo.
e Single—$3,400 • Head of household—$5,000
• Mamed filing jointly or Qualifying wtdowfer)—$5,700
e Mamed filing separately—$2,850
Subtract line 34 from line 32
if line 32 is $75,000 or less, multiply $2,150 by the total number of exemptions claimed on
line 6e. if line 32 is over $75,000. see page 24 for the amount to enter
Tax*Me income. Subtract line 38 from line 35. flf line 38 is mora man Hna 35, enter -0-.) .
Enter tax. Check if from a G Tax Table, b G Tax Rat* Schedule*, e G Schedule 0.
or d O Form 8815 (see pege 24). (Amount, if anf. from Fomys) 8814 * e I ¦)
Additional taxes (see page 24). Check if from a G Form 4970 b G Form 4972 . . .
Add lines 38 and 39 • ' »
JL
JL
40
Credits
(See pege
25.)
JL
42
41 Credit for cniid and aaoenoent care expenses tatuch Form 2441)
42 Credit for tne etderty or tne disabled (attach Schedule R). .
43 Foreign tax credit (aftecn Form 1116)
44 Other credits (see page 25). Check if from a G Form 3800
b.Q Form 8398 c Q Form 8801 d O Form (soecify) *
48 Add lines 41 througn'44
46 Subtract line 45 from ime 40. (If line 45 is more than line 40. enter -0-.)
Other
Taxes
47
46
40
50
51
52
53
Self-employment tax rarracn Schedule SB L£L
Alternative minimum tax toftacft form 6251) *8
Recaotwe taxes (see page 28). Cheek if from a G Form 4255 b G Form 8811 e G Form 8828 . L_4S_
Sooai security and Medicare tax on tip ineome not reooneo to employer Mtac/i Form 4137) 80
Tax on an IRA or a qualified retirement pian (attach Form Sti9) LSI
Advance eamvu uhuimv (.ivuii paytnont* irum rofni rv~« H—~
Add lines 46 tnrouqn 52. This is your total tax ~ | 83
Payments
Attacn
Forms W-2.
W-2G. and
1099-R to
front
54 Federal income tax withheld (if any is tram Formis) 1099. duck ~ G>
55 1991 estimated tax payments and amount aoo»ed from 1990 return .
56 Earned income credit rartach Schedule EtC)
57 Amount paid with Form 4868 (extension request) ....
58 Excess socjji security. Median, and RRTA tax withheld isae page 27) .
59 Other payments (see page 27). Check if from a G Form 2439
b O Form 4138
80 Add lines 54 tnrouqn 59. These are your total payments
57
86
I
I
Refund or
Amount
You Owe
81
62
63
64
65
if hne 60 is more man itf* 53, subtract ime 53 from ime 60. TNs »the amount you OVBAMiO- • ~ LSI
Amount of line 61 to be REFUNDED TO YOU ~ UM
Amouffl ot line 61 to M APPIIE0 TO Y0UH 1992 ESTIMATE!) TAX » I 63 I !
if Ime S3 is more than line 60. subtract tine 60 from line 53. This « the AMOUNT YOU OWE.
Attach cneck or money order for full amount payeoie to "Internal Revenue Service." Write your
name, address, social security numoer. oaytime pnone numoer, and *1991 Form 1040* on 1
Estimated tax penalty (see page 28). Also include on line 64. 1 86 I 1
Sign
unotr oanamn of oanurr. t oeoare tnat i nave uamneo tins return end aecornoanpng
seuet. trwy tr* irut. comet, ana compete. Qeeieration ot greoarw lotner man taxsayer) e
end statements, and to m* oeat ot my i
an at mtarmaeen et wmcn oieoarar net e
Here
Keep a copy
of this return
for your
records.
^ Your signature
Dm
Your oeaoewn
^ Soousa s vgnmiuro (il |omi return BOTH must ngri|
~ate
Soouse s occueation
Paid
Preparers
Ilea flnlu
Prvoarers k
sxjnaturt f
Date
Cheek * f—,
ie* wraHn*a U
Preoerer s social security no
Firm J n«m« io» your* k
E.L NO.
ZIP
•ua.a—www i1'mm ottc« ieai — m-ob
-------
SCHEDULE C
(Form 1040)
Zeoanrrent at r-easi/v
aeve^u# S«*v»ce '0^
Profit or Loss From Business
(Sole Proprietorship)
~ Partnerships, joint ventures, etc.. must file Form 1065.
*¦ Attach to Form 1040 or Form 1041. . » See Instructions for Schedule C (Form 1040).
:vs no oo7i
-------
Sc'eome C :c"" '--'-'i '99'
Cost of Goods Sold (See instructions.!
Part III
33 inveniorv 3t o©^inmng ot v&sr (It Oitfsrsnt from isst V63f s closing inventory, snscn sxoisnstion i ^
34 Purcnases less cost of items witnarawn for oersonai use 1 34 ¦
35 Cost of laoor (Do not mciuae salary caia to yourself i . 35
38 Materials ana supplies .... ^ 36 i
I 37 I
37 Other costs
38 aaa imes 33 tnrougn 37. .... I 38 I
39 Inventory at end of year. ...... .... I 39 i
<0 Cost of goods sokj. SuDtrr-r n.,e '*; from line 3t, Enter tne result here ana on page i line 4 1 40 i
Principal Business or Professional Activity Codes
Part IV
Locate the maior category tnat oest aesenpes your activity Witnm me maior category, select the activity coae mat mos; cioseiy laentifies u1
Dusiness or profession that is tne principal source of your saies or receiots. Enter mis *-digit cod* on page 1. line B. For example. real estate
agent is unaer me mayor category of 'Real Estate," ana tne coae is "5520." (Note: It your principal source ot income is from farming activities, you
snouia file Sc/redu/o F (Form 1040). Profit or Loss From Farming.i
Agricultural Services,
Forestry, Fishing
Coda
1990 Ammai services, otner man
oreeomg
1933 Croo services
2113 Farm iaoor 4 management
services
22^6 Fisnma commercial
2238 Forestry exceot logging
2212 Horticulture 4 lanoscaomg
2469 Hurmna 4 traoomg
1974 Livestocn oreeoing
0636 Logging
' 958 vetencirv services including oets
Construction
0018 Ooerative Dunaers ifor own
account)
Budding Trade Contractors. Including
Reoeirs
0414 Caroentenng 4 flooring
0455 Concrete wot*
0273 Electrical won
0299 Masonry arv wait, stone. & tile
0257 Paiming & oaoer nangmg
0232 Piumomq neatmg. & air conditioning
0430 Roofing, siding & sneet metal
0885 Otner ouiiding trade contractors
iexcavation, gazing. etc l
°ngml Cw"*C'W5
0075 Hignwav 4 street construction
0059 Nonresiaemiai ouiiding
0034 Residential ouiiding
3889 Otner neavy construaion ioioe
laying, onage constnjction etc I
Finance, Insurance, &
Related Services
5064 Sroxers 4 dealers ot securities
6080 Commodity contracts oroaers 4
a eaters: securtty 4 commodity
exenanges
6148 Credit institutions 4 mortgage
~arwers
5702 insurance agents or Brokers
5744 insurance services laoomsai.
consulting, msoection. etc.i
6130 investment advisors A services
5777 Otner financial services
Manufacturing, Including
Printing & Publishing
0679 Aooam 4 other textile oroaucts
1115 Etectnc 4 electronic eauioment
1073 Faoncatea metal oroaucts
0638 Food oroaucts 4 oeverages
C810 Furniture 4 fixtures
0695 learner roorwear. nanaDags. etc
3336 Lumoer 4 otner wood oroducts
: 099 Macninerv 4 macnine snoos
0877 "aoer 4 amea oroaucts
1057 Pnmarv metal maustnes
0851 P'mtmg i ouoiisrung
1032 Sione ciay. 4 giass oroducts
0653 Tsitue-"i" orooucxs
883 Otner manutactunng industries
Mining & Mineral Extraction
i 537 Coal mining
1511 Metai mmmg
1552 Oil 4 gas
1719 Quarrying 4 nonmetailic mining
Real Estate
5538 ODerators 4 lessors of ouildings.
including residential
5553 Goerators 4 lessors ot otner real
orooerty
5520 Real estate agents 4 oroxers
5579 Real estate orooerty managers
5710 Suoaividers 4 aevetooers. exceot
cemeteries
6155 Title aostract offices
Services: Personal,
Professional, & Business
Services
Amusement 4 Recreeoonal Service*
9670 Bowling centers
9688 Motion oicture 4 taoe aistnoution
4 allied services
9597 Motion oicture 4 yideo
~reduction
9639 Motion oicture tneaters
8557 Physical timess facilities
9696 Professional soorts 4 raeng.'
including orcmoters 4 managers
9811 Theatrical oertormers. musicians,
agents, oroaucers 4 related
services
9513 Viaeo tace rerral
9837 Otner amusement 4 recreational
services
Automotive Services
8813 Automotive rental or leasing.
witnout anver
8953 Automotive reoairs. general 4
soeoaiized
8839 Panung. exceot valet
8896 Other automotive services iwaan.
towng. etc. i
Ouiwia A Personal Services
7658 Accounting 4 ooonneeoing
7716 Advertising, exceot direct mail
7682 Arenitecturai services
8318 Saroar snoo lor oaroen
8110 Beauty snoo tor ooautciam
8714 Child day care
6676 Communication services
7872 Com outer orogrammmg.
processing, aata oreoaration 4
reiatad services
7922 Com outer reoav. maintenance. 4
'easing
7286 Consulting services
7799 Consumer credit reoorting 4
collection services
8755 Counseling lexceot neaitn
- -acntionersi
6395 C. jner or oacxage aeiiverv
7732 Ei^oiovment agencies 4
ocrsonnei suODly
7518 Ergineenng services
7773 Eauioment rental 4 leasing
lexceot comouter or automotivei
8532 Funeral services 4 crematones
7633 Income tax oreoaration
7914 investigative 4 orotective servces
7617 Legal services lor lawyer)
7856 Mailing, reoroaucrion commercial
an. onotograony i
stenograonic services
7245 Management services
8771 Ministers 4 cnacains
8334 Photograonic studios
7260 PuOliC relations
6536 PuOlic warehousing
7708 Surveying services
8730 Teacning or tutorng
6510 Trasn collection witnout own aump
6692 Utilities idumos. snowoiowng.
road cleaning, etc.)
7880 Otner Business services
6882 Omar oersonai services
Hotets A Other Lodgatg Places
7237 Camos 4 camoing oarxs
7096 Hoteis. motets. 4 tounst nomes
7211 Rooming 4 Doarding nouses
Laundry A Cleaning Serwcea
7450 Caroet 4 uorvotsterv cieanng
7419 Coin-ooerateo launones 4 dry
cleaning
7435 Full-service laundry, ary cleaning.
& garment service
7476 Janitorial A rotated servces .
building, nouse. 4 wmoow
cieamngj
Medieai A Meetth Sermcw
9274 Chirooractors
9233 Dentist s office or cwiic
9217 Doctors (M.O.) office or ctmic
9456 Medical A dental laooratones
9472 Nursing A oersonai cam facilities
9290 Ootometnsts
9258 Osteooattiic onystcatts 4 suraeons
»<;4i Hoaiatnsts
9415 Registered A oracocai nurses
9431 Offices A cnnics ot other neaitn
practitioners idietictans.
miowives. aoeecn oatnoiogists.
etc.i
9886 Other neaitn services
MieceUeneous Heper. Except
Comouter*
9019 Audio eouioment 4 TV reoar
9035 Electrical A electronic eauioment
reoav. exceot audio 4 TV
9050 Furniture reoair A reusnotstery
2881 Other eauioment reoav
Trade, Retail—Selling
Goods to Individuals &
Households
3038 Catalog or ma* order
3012 Selling aoor to aoor. bv teteono*
or party oun. or tram moon* una
3053 Venduig maenme seeing
Selling From Showroom, store,
or Other Fixed Location
Aocarel A Acceaeonea
3921 Accasaory A soeciaity stores A
fumers tor women .
3939 Clothing, family
3772 Clotnng. men's A soys'
3913 Cloming. women's
3756 Shoe stores
3954 Other aooarel A accessory stores
Automotive A Service Stations
35S8 Gasoline service stations
3319 New ear oeaiers (trancnised)
3533 Tires, accessories. 4 Dans
3335 Used car aeanri
3517 Other automotive oeaiers
motorcycles, recreational
vemciee. etc.)
Building, Hardware. A Garden SuoCy
4416 Building materials oeaiers
4457 Harcware stores
4473 Nurseries 4 garaen suooiy stores
4432 Paint, giass. 4 waiioaoer stores
Food A Beveregee
0612 Bakeries selling at retail
3086 Catering services
3095 Dnnking places iDars. taverns
ouos. saioons. etc.i
3079 Eating oiaces. meais 4 snacxs
3210 Grocery stores igenerai .mei
3251 Lauor stores
3236 Soeciaiizea looa stores imeat
oroouce. cm ay. neaitn tooa etc i
Furniture A General Merchandise
3988 Comouter 4 software stores
3970 Furniture stores
4317 Home fumisnmgs stores lentna
floor coverings, draoesi
4119 Housenow aoouance
4333 Music 4 record store;
3996 TV. audio 4 electron»l
3715 vanety stores
3731 Other genem mercrtaiiatse mres
Mlneeeneoue Retail Stores
4812 Boat dealers
5017 Soot stores, exeiuomq newsstands
4MJ camera A onoto suooiy stores
3277 Onja sto es
5058 Faonc 4 neeoieworx stores
4655 Fionsts
5090 Fuei oeaiers lexceot gasoline)
4630 Gilt, novelty 4 souvenir snoos
4838 Hoooy. toy. 4 game snoos
4671 Jeweiry stores
4895 Luggage A learner goods stores
5074 Moone nome oeaiers
4879 Ooocai gooas stores
4697 Soonmg gooas 4 ocycie snoos
5033 Stationery stores
4614 used mercnanaise 4 antique stores
leireot motor verncie ovtsi
5884 Otner retail stores
Trade. Wholesale—Selling
Goods to Other Businesses, etc.
OuraMe Qoodm. Incluang Macmnery
Eouement Wood. Mateia, etc.
2634 Agent or oroner tor other firms—
more man 50H of gross saies
on commission
2618 SeHng tor your own account
Nondureote Oooda, Including Food.
Fiber. CKeniicaie. etc.
2675 Agent or oronar for other firms—
more man 50% of gross saies
on commission
2659 Seilino -or your own account
Transp ^tion Sei
6619 Air -t wonaticn
S312 Bus 4 imousine transoorumon
6361 Hiqnwav oassanger transoortation
(exceot cnarterea senncei
6ii4 Taxeacs
6635 Travel aaerrts 4 tour ooerators
6338 Trucxmg lexceot trasn coiiecticrv
6551 Water transoortation
6650 Otner transoortation services
8888 UneBte to ciaaarty
*US.tfO* 19910*2 85-1 7*
-------
SCHEDULE E
(Form 1040)
Deoartmem ol tne Treasury
internal Revenue Service (0)
Supplemental Income and Loss
(From rents, royalties, partnerships, estates, trusts, REMICs, etc.)
~ Attacfl to Form 1040 or Form 1041.
~ Sm Instructions for Schedule E (Form 10401.
:mB No 1545-0071
91
Attacnmam
Seauenco no 13
Nam«s) snown on return
Your social ncurrty numoar
Part I
1 I Show the kind ana location of eacn rental property;
Income or Loss From Rentals and Royalties Note; Report farm rental income or loss from Form 4838 on page 2. line 39.
For eacn rental prooerty listed on
line 1. did you or your family use
it for personal purposes for more
than the greater of 14 days or
10% of the total days rented at
fair rental value during the tax
year? (See instructions.)
Yes i No
Rental and Royalty Income:
3 Rents received.
4 Royalties received
Rental and Royalty Expenses:
Totals
| (Add columns A. 8. ana C.)
5
6
7
8
9
10
11
12
13
14
15
16
17
18
Advertising
Auto and travel
Cleaning and maintenance.
Commissions
Insurance . .
Legal'and other professional fees
Mortgage interest paid to banxs.
etc. (set instructions) . .
Other interest .
Repairs . .
Supplies'
Taxes . ....
Utilities
Wages and salaries . .
Other (list) ~
19
20
21
22
23
24
25
Ada lines 5 througn 18 ... .
Deoreciation expense or depletion
(see instructions) . . .
Total expenses. Add lines 19 ana 20
Income or (loss) from rental or
rovaity properties. Subtract line 21
from nne 3 (rents) or line 4
(royalties), if the result is a (lossi.
see instructions to find out if you •
must file Form 6198 .
Oeductioie rental loss. Caution:
Your rental loss on line 22 may oe
limited. See instructions to find out
if you must file Form 8682
Income. Add rental ana royalty income from line 22. Enter tne total income here
Losses. Add royalty losses from line 22 ana rental losses from nne 23. Enter the total losses nere
26 Total rental ana royalty income or dossi. Comome lines 24 ana 25. Enter tne result here. If Parts II. ,
ill. IV. ana line 39 on oage2 ao not appiy to you. enter-tne amount from line 26 on Form 1040. ! 1
line 18. Otherwise, include tne amount from nne 26 m tne total on line 40 on oage 2 ' 26 I
For Paperwor* Reduction Act Notice, see Form 1040 instrucuons.
Cat No 113AL
Schedule 6 (Form 1040) 1991
-------
Scneauie E 'For- "991
Attacnment Secue^ce No 1 3
'•apt 2
Namwsi snown on return iDo not enter name ana social security numoef i snown on oiner 5.ae >
Your social Mcumy nufflew
Note: If vou report amounts from farming or fisnmg on Scneauie t. you must enter your gross income from rnose activities on line 41 bei
Income or Loss From Partnerships and S Corporations
If you report a loss from an at-nsk activity, you MUST check either column (e) or (f) of line 27 to describe your investment m~tne
activity. See instructions. If you check column (f), you must attach Form 6198.
27
aT
(a) Name
(bl Enter 9 for
swtnarenig: 3
for S corporation
(c) Check it
foreign
oartnersflio
Id) Emowyer
identification
numoer
lamunaa M RMT
(e| All is i (f) Soma «
at ran I not at ns*
B I
c!
D_
E
Passive Income and Loss
N on passive Income and Loss
(g) Passive loss allowed
(artacn Form 8582 it reauirea)
(h| Passive income
from Schedule K-1
(i) Nonoassive toss
from Schedule K-1
(j) Section 179 axoense
deduction
from Form 4562
(k| Nonoassive income
from Schedule K-i
Add columns (h) and (k) of line 28a. Enter the total income here
Add columns (g), (i). and (j) of line 28b. Enter the total here
Total partnership and S corporatioh income or (loss). Combine lines 29 and 30. Enter the result
here and include m the total on line 40 below . . . ^ .
30 l(
31
Part III
32
Income or Loss From Estates and Trusts
(a) Name
lb) Emwoyw
identification numoer
Passive Income ahd Loss
Nonpasstve Income and Loss
(e) Passive oeouction or loss allowed
(attacn Form 8803 if required)
(d) Passive income
from Schedule K-1
(e) Deduction or toss
from Schedule K-1
tfl Ottier income from
Schedule K-t
Bl
33a Totals &
b Totals
34 Add columns (d) and (f) of line 33a. Enter tne total income here
35 Add columns (c) and (e) of line 33b. Enter the total here . 35 ^
36 Total estate and trust income or (loss). Comoine lines 34 and 35. Enter the result here and include
in the total on line 40 below ..... 36
Part IV
Income or Loss From Real Estate Mortgage Investment Conduits (REMICs)—Residual holder
37
le) Name (W Emoloyef
! identification numoer
(c> Excess inclusion from i
Schedules O. line 2c isee - "* OCOm^(n*
nsmjctionsi ! 'ns,n "a**"** «• >*
l loss)
m IB
(e) income item Schedul
ime 3b
wa Q.
: : I ' I
1 i
38 Comoine columns (d) ana fe) only. Enter the -suit here and include in the total on line 40 below 38
Part V
Summary
39 Net farm rental income or (loss) from Form 4835. (Also complete line 41 below.).
! 39
40 TOTAL income or (loss). Comoine lines 26. 31. 36. 38. and 39. Enter tne result here ana on Form
1040. ime 18 ^ I 40
41 Reconciliation of Farming and Fishing Income: Enter your gross
farming and fishing income reoorted in Parts II and III ana on line 39 I
(see instructions) I 41
eUSGPO 19910-285-181
-------
Appendix A
GLOSSARY
-------
This appendix describes common financial materials and concepts used , in ability to pay
analysis. Familiarity with these terms will assist the analyst in assessing companies financial situation.
At the end of this section we provide a list of sources. You may wish to refer to these sources if you
have questions regarding specific financial principles or information.
Common Financial Materials
Annual report The report to shareholders containing financial information published by a firm in
accordance with generally accepted accounting principles (GAAP) and/or specific Securities and
Exchange Commission regulations.
Form 10-KAn annual document filed with the Securities and Exchange Commission by companies
that sell securities to the public.
Auditor's report: Report by independent auditor attesting to the fairness of companies financial
statements, and whether they were prepared in accordance with Generally Accepted Accounting
Principles (GAAP) or Generally Accepted Auditing Standards (GAAS). The auditor's report will
identify any concerns or reservations of the auditors who examined the statements.
Financial statements: Documents that describe, relate to, summarize, and/or compare the income,
expenses, assets, liabilities and worth of the company. Four statements comprise the basic set of
financial statements: the balance sheet, the income statement, the statement of retained earnings,
and the statement of changes in financial position.
Balance sheet- The financial statement that shows the financial condition of a company at a particular
point in time (usually beginning and/or end of company's fiscal year). The balance sheet provides
information about corporate assets, liabilities and equity. The fundamental relationship between
these items can be represented as follows: Assets = Liabilities + Stockholders' Equity.
Income statement: The financial statement presenting the revenues and expenses of a business
enterprise over a period of time. The income statement shows how much the corporation earned or
lost during the year.
Statement of Changes in Financial Position!Statement of Cash Flow: This financial statement examines
changes in cash resulting from business activities from one period to the next
Statement of retained earnings The financial statement that presents the details of the transactions
affecting the retained earnings account during an accounting period.
Statement of shareholders' equity: A financial statement that summarizes changes in the shareholders'
equity section of the balance sheet during an accounting period.
Notes to financial statements: Important supplementary information to financial statements that
explain the firm's accounting policies and provide details about particular items that require
clarification.
A-l
-------
Common Financial Concepts
Accounts payable: Amounts owed to regular business suppliers for items or services purchased from
them. Accounts payable represent current liabilities.
Accounts receivable: A current asset representing amounts due from customers, but not yet received.
Amortization: The process of allocating the cost of an intangible asset (e.g., trademark, patent) over
its life for accounting purposes.
Assets: Items possessing service or use potential to the owner and reported on a company's balance
sheet.
Book Value: Actual cost of an item less accumulated depreciation. This value may be more or less
than current market value.
Commitments: Liabilities a company expects to incur in the future. An agreement to supply goods
and/or services is an example of a commitment.
Common stock: Shares of stock representing ownership in a company.
Contingent liabilities: Items reported on the balance sheet which represent liabilities the company
might incur. For example, companies commonly set aside money aside to account for.expected results
of litigation proceedings under a contingent liability account
Cost of goods sold: The direct cost to the seller of products sold to customers which is reported on
the income statement.
Current assets/liabilities: Items generally expected to be converted into cash or paid out in cash within
one year. Examples of current assets and liabilities include cash, deposits, inventory, short-term notes
payable, accounts payable, etc. These items are reported on the balance sheet.
Deferred liabilities: Debts reported on the balance sheet that are incurred in the current time period
but will be paid out at a later date.
Depletion: The accounting procedure used to allocate the cost of acquiring and developing natural
resources. Depletion is reported on the balance sheet.
Depreciation: The accounting procedure used to allocate the cost of an asset which will benefit a
business enterprise for more than a year, over the asset's useful life. Depreciation represents the
decline in the value of an asset due to "wear and tear." Tax rules currently allow accelerated
depreciation techniques for accounting purposes, therefore the depreciated value of an asset as
reported on the balance sheet may actually be less than the true value.
Dividend: Periodic payment by a company to its stockholders.
A-2
-------
Expenses: Costs of consuming assets or incurring liabilities to produce revenues for the company.
Expenses are reported on the income statement.
Fixed assets: Tangible, long-lived assets that are expected to provide service benefit for more than
one year. Property, plant and equipment are examples of fixed assets which are commonly reported
on the balance sheet.
Intangible assets: Assets reported on the balance sheet possessing no physical characteristics but
having value to a company's owners. Examples include franchise agreements, goodwill and patents.
Inventories: Assets including items held for sale or used in the manufacture of products that will be
sold. Inventories usually fall into three groups: 1) raw materials to be used in the product, 2)
partially finished goods in the process of manufacture, and 3) finished goods ready for shipment to
customers.
Liabilities: Obligations due to other entities for their provision of goods and/or services. Liabilities
are reported on the balance sheet and represent claims against assets.
Line of credit A liability in the form of a prearranged loan allowing borrowing up to a certain
maximum amount.
Liquidity: The ability of a firm to generate sufficient cash to meet its cash needs.
Long-term liabilities: Debts due in more than one year. These are reported on the balance sheet
Market value: Price for an item which can be obtained through sale in the open market
Net assets: Total assets less total liabilities.
Net profit (or net income): The firm's profit or loss after considering all revenue and expenses
reported during the accounting period. Net profit is reported on the income statement
Net sales: This item, which is reported on the income statement, represents the total amount of
money received for goods and services less returned goods and allowances for price discounts.
Noncurrent assets: Items expected to benefit the firm.for more than one year. Noncurrent assets are
often fixed assets like plant and equipment and are reported on the balance sheet
Noncurrent liabilities: Liabilities not expected to be paid in the current period. Examples of
noncurrent liabilities include commitments and contingencies and are reported on the balance sheet.
Notes payable: A short-term liability in the form of a promissory note representing money owed to
banks, individuals, corporations or other lenders.
Operating expenses: Costs relating to the normal functions of a business, reported on the income
statement.
A-3
-------
Prepaid expenses: Payments made for goods and services in advance of their use. Insurance and rent
are examples of prepaid expenses that are often included on the income statement.
Principal: The original amount of a liability, or portion of the original amount currently owed
excluding interest.
Publicly-held companies: Companies that operate to earn a profit and issue shares of stock to the
public.
Replacement cost: The estimated cost of acquiring new and substantially equivalent property at
current prices.
Retained earnings: Historical net profit less any payments made to shareholders in the form of cash
or stock dividends; reported on the balance sheet.
Revenue: The inflow of assets resulting from the sale of goods or services.
Selling <4 administrative expenses: Costs relating to the sale of products or services and to the
management function of the firm. Examples of these expenses often included on the income
statement are salespeople's salaries, commissions, advertising and promotion, travel and
entertainment, etc.
Stockholders' equity: The amount owners have invested in the company excluding liabilities.
Stockholders' equity is reported on the balance sheet.
Taxable income: The net income figure used to determine taxes payable to governments.
Sources:
Fraser, Lyn M., Understanding Financial Statements. Reston Publishing Company, Inc., Virginia.
1985.
Merrill Lynch, Pierce?, Fenner & Smith, Inc., How to Read a Financial Report 6th Edition, 1990.
Brownlee, E Richard, Kenneth Ferris and Mark Haskins, Corporate Financial Reporting. Richard D.
Irwin, Inc., 1990.
A-4
-------
Appendix B
CONSUMER PRICE INDEX
-------
'•bte 1. Consumer Prlea index tor AU Urban Consumer* iCPI-UV U.S. city inngi, by aipenottura category ana commodity ana
i«nnc« grouo
(' 982-64 - 100. uniMt otn«n»— notedl
Grouo
Batata i
moortanca. i
UnadajBM
o noma
Linanaman
paraara enanpa io
' June 1991 frwrv—
jaroa
m cntngt n
orrv—
1990
Ma*
i»91
.una
1991
June 19901
«a>M
170.7
173.7
; 15.7 !
9
. i 4
• i 0
3
HomaOTvfiara cuaia i ....
19544 I
1484
149.7
! 37 !
3
2
1
3
Oanera aouvaiam ram '
19183 1
149.4
149.9
3 7 1
3
4
t
3
HouaanoM nauranca ' ....
' 383 1
137 J
1383
! 2-4 I
«
*
1
4
Miaiiwiaiica ano raean — — -
207 1
126J
1242
3.8 1
1 5
fl
• 8
Maanananca ana raoar aarwoaa -
127 |
131.4
129 J
3.8 1
-1 1
12
-l 1
uaanananea and raoar luimunnai 1
080 I
' 20.9
121.3
| 3.7 !
3
i 9
8
3
P.x (M mnar iiMitifa
7 327 1
114 X
115 J
3.2 |
1 4
- 5
5
- 7
Puata —
4 140 |
<05.4
107.6
i" " '
2.1
• t \
3
-1 5
Fjoi m «na omer nuuianotn fuel commooroaa
520 1
90J
9M
51 1
-i 8
-it
-3 0
. 7
Gaa
3 819 I
in 5
11*4
1 8 ¦ 1
28
.7
-1 5
Otner mime* ana ouoac tamcaa
3 186 :
137.3
137 9
48
4
.
6
4
' -ouaanoa lumjvuvjt and ooaraaon .... -
5 371
118.3
1 IS 9
2.5
- 3
2
- 3
"Ouaaturmrunqt
3 773 ,
08.1
107.5
1 1 '
- 6
. i
7
- 0
-ouaaaaaonq mooiiaa ... -
i 1S6
<29.0
129.0
25
3
%
1
3
-ouswieeonq tamcM
' 431
127.1
127 J
52
- 2
Aaoarw and uenaac - ....
5 073 l
129.4
126.9
2.9 i
-i 9
-2
S
- 1
ipoara1 MJITWWMiaf
S 512 I
127 J
124.4
2.7
-2 3
- 2
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r
NATIONAL ENVIRONMENTAL JUSTICE
ADVISORY COUNCIL
NATIONAL MEETING
U.S. ENVIRONMENTAL PROTECTION AGENCY
REGION 4
AVAILABILITY SESSION
WEDNESDAY, DECEMBER 11, 2002
9:30 - 10:30 A.M., DAVIDGE BOARDROOM
Come join management and staff of EPA Region 4 to follow-up
on Region 4 issues raised during public comment, provide
feedback on Region 4's strategy to implement Regional Listening
Sessions, etc.
Marriott Inner Harbor Hotel
110 South Eutaw Street
Baltimore, MD 21201
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"Everything is connected to everything else.
- Aldo Leopold
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National Environmental Justice Advisory Council
Members Whose Term Expires December 31, 2002
Executive Council Members
Peggy Shepard, Chair
Jana L. Walker, Vice Chair
Eileen Gauna
Harold Mitchell
Jane Stahl
Pat Hill Wood
Subcommittee Members
Daniel Greenbaum
Damon Whitehead
Lawrence Dark
Moses Squeochs
Don Aragon
Dean Suagee
Efren Perez
Jose Cruz Rivera
Rafael Robert
Michael Szendry
Mildred McClain
Denise Feiber
Melvin "Kip" Holden
Subcommittee
Air and Water
Air and Water
Health and Research
Indigenous Peoples
Indigenous Peoples
Indigenous Peoples
Puerto Rico
Puerto Rico
Puerto Rico
Puerto Rico
Waste and Facility Siting
Waste and Facility Siting
Waste and Facility Siting
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Region 6 Environmental Justice Listening Session
Presentation by Sunita Singhvi
Why An EJ Listening Session?
The Region 6 Environmental Justice (EJ) Listening sessions are interactive, solution-
oriented dialogues conducted with community representatives, and in partnership with State,
Tribal, Federal, local and municipal government representatives and industry. EPA Region 6, in
partnership with Texas Southern University, will convene the first Region 6 EJ Listening Session
in Houston, Texas on November 14-16, 2002. The purpose of these listening sessions is to
engage in active discourse, on topics ranging from general to specific areas of common
interest/concern, and to work effectively toward mutually beneficial solutions.
Process:
EPA Region 6 and the Listening Session cosponsor, Texas Southern University, worked with a
diverse group of stakeholders to plan the Listening Session. The planning committee included
community-based organizations, academia, industry, and governmental representatives at the
state and Federal level. Planning committee participants identified a broad array of topics for
discussion at the first listening session. Six of the identified topics were selected for discussion
at the session: Enforcement and Supplemental Environmental projects; Permitting and Public
Participation; Relocation; Facility Siting; U.S./Mexico Border issues; and Employment and
Worker Training. Two additional topics (Water/wastewater and infrastructure & Pesticides and
Farmworker issues) will be discussed during a breakout session to plan for future meetings.
In addition to EPA, state environmental departments from Texas (Texas Commission on
Environmental Quality) and Louisiana (Louisiana Department of Environmental Quality) were
active participants in the Listening session planning process. TCEQ and community leaders also
co-moderated some of the sessions.
Session Goals:
Provide EJ community representatives in Region 6 with an opportunity to dialogue
among themselves and with government and industry decision-makers to address
concerns facing their respective communities.
Gather input and share information from communities on environmental, health, and
quality of life concerns;
Establish and strengthen working relationships between and among community
representatives, EPA and other government agencies, in order to secure long-term
partnerships;
• Educate Agency officials on communities' environmental, health and quality of life
concerns and, concurrently, educate the community on the role of government in
addressing those concerns;
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• Discuss collaborative strategies to address potential environmental health risks;
Focus attention on issues relative to a particular environmental regulatory program; and
Share information resources and contacts, as necessary.
Next Steps - "After the Listening Session":
The workgroups formed to address topics in this Listening Session will continue the
collaborative process after the Listening Session to address the issues identified in this process.
L:EJ Listening session NEJAC
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION 4
ATLANTA FEDERAL CENTER
61 Forsyth Street
Atlanta, Georgia 30303-8960
USEPA Region 4
Environmental Justice Listening Sessions Strategy
December 2002
The U.S. Environmental Protection Agency, Region 4, is committed to ensuring that
environmental justice is incorporated into the Region's programs, practices, and policies.
To that end, Region 4 will schedule environmental justice listening sessions throughout the eight
states in the region to allow external stakeholders, particularly communities, to express their
concerns in regards to environmental justice matters. These listening sessions will be conducted
in a manner to provide communities and community organizations a forum to engage in dialogue
specific to their area, state, and situation. Further, Region 4 supports the NEJAC's efforts to
ensure that local concerns are being addressed. We believe that significant dialogue between
communities and the region are currently taking place and that we are working collaboratively
with a number of parties, including states and communities, to address environmental justice
concerns in Region 4.
Region 4 participated in the development of the strategy to conduct regional listening
sessions. In doing so, we sought input from a variety of internal and external stakeholders. All
Region 4 State Environmental Agencies agreed to play an active role in planning and conducting
listening sessions. We received a number of recommendations from community representatives
that are incorporated into our strategy. For instance, it is not practical to have one listening
session for the entire region due to its size. Conducting one listening session per state would
allow for sizeable participation from communities throughout the region. Communities also
want to be able to learn from each others successes and challenges. Some have suggested that
community organizations participate in the planning process and in some cases co-sponsor the
event. We will also seek opportunities to conduct listening sessions in conjunction with other
events that include participation of a large number of environmental justice regional
stakeholders.
Further, in August 2002, the Environmental Justice/Community Liaison Staff Office held
a joint EPA and Region 4 state environmental agency environmental justice workshop. During
that meeting, the participants drafted a strategic plan that includes jointly conducting listening
sessions. We feel strongly that our states are engaged and are equally committed to ensuring
that our communities have the opportunity to make informed decisions and to be active
participants in the decision making process. In addition, Region 4's Regional Administrator will
be issuing an Environmental Justice policy statement reiterating EPA's efforts to engage our
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external stakeholders.
The first step in implementing the environmental justice listening sessions is to have
clearly defined goals so that participants can leave each session with a positive, learning
experience. The goals are listed below:
1. To gain a better understanding of environmental justice issues.
2. To engage in a dialogue with EPA partners and stakeholders.
3. To raise issues/concerns regarding facilities of concern to communities.
4. To hear environmental justice regional updates and success stories.
We expect the listening sessions to provide the following benefits:
~ Affected communities will gain a better understanding of environmental protection
policies, programs and resources.
State, federal and local agencies will gain a better understanding of environmental, health
and quality of life issues facing environmental justice communities.
~ Government agencies can better focus attention and mobilize resources to address
concerns.
~ Increase environmental awareness and stewardship.
~ Seek to ensure the equitable distribution of environmental protection regardless of race,
ethnicity, culture or income.
The following are some areas we envision that will be key to conducting successful
listening sessions:
A. Planning.
With the support of the Regional Administrator, we will involve EPA staff, the Region 4
EJ Cross-Divisional Team, state environmental agencies, industry, community organizations,
etc , in planning and implementing the listening sessions. A steering committee, comprised of
representatives of the aforementioned groups, will develop specific action items and an agenda
based on results of interviews with local community stakeholders. Every effort will be made to
develop consistent and common understandings about site specific activities. We will schedule 2
to 3 listening sessions for fiscal year 2003, with the first to be conducted in March. Contractor
support will be used to provide assistance in implementing the listening sessions. During the
planning phase, it will be determined if foreign language or sign language interpretation services
are necessary. More than likely transcription services will be used to aid in effective follow-up
to the communities.
B. Format
It is envisioned that each session will be conducted in two phases: 1) the meeting; and 2)
follow-up on action items identified during the sessions. The specifics of the format will be
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determined by the steering committee. Participating organizations will assist in leveraging
resources (e.g., use of facility, advertising) and help to raise local awareness about the
environment and public health issues.
C. Audience
Community participation will be ensured through active engagement throughout the
planning process. Region 4 will make clear the purpose of the Listening Session. To make the
discussions as constructive and non-adversarial as possible, Region 4 may elect to invite
representatives from community groups to speak on the environmental, public health, and quality
of life issues and other concerns of their community. The audience should reflect the diversity
of the vicinity in which the listening session will take place. Region 4 may consider requesting
that participants RSVP in advance and indicate any particular issues they wish to discuss so that
EPA and other appropriate parties can bring outreach materials and ask the right Agency experts
to speak on the issue(s) in greater detail.
Should you have any comments or suggestions regarding this strategy, please contact Cynthia
Peurifoy, Acting Manager, Environmental Justice/Community Liaison Staff Office, at 404-562-
9649, or by email at Peurifoy.Cynthia@EPA.gov.
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National Environmental Justice Advisory Council
WASTE AND FACILITY SITING SUBCOMMITTEE
STRATEGIC WORK PLAN
(Fiscal Years 2003 and 2004)
September 30, 2002
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COMPOSITION OF THE SUBCOMMITTEE
Members of the Waste and Facility Siting Subcommittee are individuals selected from:
environmental and community groups; academia; non-governmental organizations; industry; and state, local,
and tribal governments, who have first-hand knowledge of environmental justice issues in relation to the
waste programs purview by the EPA Office of Solid Waste and Emergency Response (OS WER). The waste
programs under OS WER include: solid waste, underground storage tanks, brownfields revitalization, cleanup
of federal facilities and hazardous wastes sites, and response to emergency incidents involving oil spills or
releases of hazardous substances.
The Subcommittee also works closely with the Program Office Designated Federal Officer who is
knowledgeable in environmental justice issues as well as in OSWER waste programs.
The following is the current membership of the Waste and Facility Siting Subcommittee:
Designated Federal Officer: Kent Benjamin
Chair: Veronica Eady
Vice Chair: Mary Nelson {Acting)
Members: Michelle Alvarez
Robert Collin
Judith Espinosa
Denise Feiber
Leslie Fields
Randall Gee
Robert Harris
Melvin "Kip" Holden
Mosi Kitwana
Michael Lythcott
Dr. Mildred McClain
Donna McDaniel
Harold Mitchell
Vincent "Butch" Wardlaw
Disclaimer
This document has been reviewed and accepted by United States Environmental Protection Agency (EPA)
as a part of the activities of the National Environmental Justice Advisory Council, a public advisory
committee providing external policy information and advice to the Administrator and other officials of the
EPA. The Council is structured to provide balanced, expert assessment of issues related to environmental
justice.
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ST¦».
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON. D.C. 20460
OFFICE OF SOUO WASTE AND
EMERGENCY RESPONSE
MEMORANDUM
SUBJECT: OSWER Approval of the Waste and Facility Siting Subcommittee
This memorandum restates the commitment of the Office of Solid Waste and Emergency
Response (OSWER) to sponsor and support the Strategic Plan developed by the Waste and
Facility Siting (W&FS) Subcommittee of the National Environmental Justice Advisory Council
(NEJAC). In close consultation with OSWER's programs and management, the W&FS
Subcommittee has developed the attached two-year Strategic Plan for its work through
September 2004. The Strategic Plan includes the revised mission for the Subcommittee as well
as the activities to accomplish the Subcommittee goals.
We understand that after program approval, the Strategic Plan is presented for
consideration and approval to the NEJAC Executive Council. Please let us know if the NEJAC
Executive Council needs additional information for its review of this plan. Based on the
approach outlined in the attached strategic plan, OSWER is confident that the Subcommittee will
continue to provide EPA with relevant, timely and independent advice and recommendations on
waste and facility siting issues.
If you need more information, please contact Kent Benjamin, W&FS Subcommittee
Designated Federal Officer, at (202) 566-0185.
Attachment
cc: Marianne Horinko, OSWER
OSWER Office Directors
Veronica Eady, W&FS Subcommittee
Kent Benjamin, OSWER/IPCO
Strategic Plan
FROM: Michael H. Shapiro
Principal Deputy Assistant Administrator
TO:
Barry E. Hill, Director
Office of Environmental Justice
Office of Enforcement and Compliance Assurance
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National Environmental Justice Advisory Council
WASTE AND FACILITY SITING SUBCOMMITTEE
STRATEGIC WORK PLAN
(October 2002-September 2004)
TABLE OF CONTENTS
EPA PROGRAM APPROVAL MEMORANDUM i
INTRODUCTION 1
SUBCOMMITTEE MISSION 1
SUBCOMMITTEE GOALS AND OBJECTIVES 1
SUBCOMMITTEE WORK PLAN
Goal 1 3
Goal 2 5
Goal 3 7
NEJAC MISSION STATEMENT 9
SUBCOMMITTEE OVERVIEW
Historical Perspective 10
Accomplishments ' 10
MEMBERS IN SUBCOMMITTEE GOALS WORKGROUPS 12
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National Environmental Justice Advisory Council
WASTE AND FACILITY SITING SUBCOMMITTEE
STRATEGIC WORK PLAN
(October 2002 - September 2004)
INTRODUCTION
The mission of the National Environmental Justice Advisory Council (NEJAC) is to
provide independent advice and recommendations to the Environmental Protection Agency
(EPA) that will help to improve the direction and implementation of environmental justice
programs and initiatives. As one of the seven NEJAC subcommittees, the Waste and Facility
Siting Subcommittee has developed this two-year strategic work plan to guide its work during
fiscal years 2003 and 2004. The plan will assist the Subcommittee in providing advise on how to
most effectively address environmental justice issues in relation to the waste programs purview
by the EPA Office of Solid Waste and Emergency Response (OSWER).
SUBCOMMITTEE MISSION
The Waste and Facility Siting (W&FS) Subcommittee will provide independent advice
and recommendations to EPA through the NEJAC Executive Council on the development and
implementation of the policies and programs related to waste issues and facility siting in a
manner that is responsive to environmental justice and promotes public involvement and
cooperative partnerships.
SUBCOMMITTEE GOALS AND OBJECTIVES
The W&FS Subcommittee has identified the following four main goals and their
respective objectives to be pursued over the next two years:
1. Strengthen the role of community residents in the clean up and disposition of
federal properties through the work of the NEJAC Federal Facilities
Working Group (FFWG).
1.1. Establish a collaborative and close coordination between the work of the
W&FS Subcommittee and the FFWG.
1.2. Assist the FFWG in identifying case studies whose key issues of concern will
be evaluated to develop general principles based on examples from actual sites.
1.3 Compile a list of resources available to communities to assist them in
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participating more effectively in the clean up of federal properties.
1.4 Provide a forum for dialogue between federal agencies and communities
impacted by federal facilities.
2. Foster community-based planning approaches for the reuse of property that
will promote sustainability, properly weigh impacts of cleanup, and foresee
and forestall unintended consequences such as gentrification and
displacement.
2.1 Develop six case studies to identify lessons, success factors and challenges
for community involvement in reuse planning.
2.2 Research existing authorities EPA can use to assist communities in planning
and reuse.
3. Influence land use issues and initiatives within OSWER as they develop to
make them as sensitive as possible at the outset to environmental justice
issues and to ensure that environmental justice goals are incorporated into
the implementation of OSWER Six Priorities.
3.1 Establish ongoing contacts with OSWER staff responsible for the six primary
priorities identified by OSWER Assistant Administrator Marianne Lamont
Horinko.
3.2 Provide ongoing advice and input to OSWER through NEJAC on developing
initiatives that concern land use issues.
3.3 Develop a small-scale communications strategy template to help manage
expectations and enhance the usefulness of forums (e.g., listening sessions) and
other tools to gather input on the issue.
The specific objectives are further defined in the next section along with the key activities
and time frames concerning how they will be accomplished.
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SUBCOMMITTEE WORK PLAN
GOAL 1: Strengthen the role of community residents in the clean up and disposition of
federal properties through the work of the NEJAC Federal Facilities
Working Group (FFWG).
Objective 1.1:
Establish a collaborative and close coordination between the work
of the W&FS Subcommittee and the FFWG.
Objective 1.2:
Objective 1.3:
Objective 1.4:
Assist the FFWG to identify five case studies whose key issues of
concern will be evaluated to develop general principles based on
examples from actual sites.
Compile a list of resources available to communities to assist them
in participating more effectively in the cleanup of federal
properties.
Provide a forum for dialogue between federal agencies and
communities impacted by federal facilities.
Products/Results: A best practices report from the FFWG that reflects the input, feedback,
and concerns from the W&FS Subcommittee.
Desired Outcome: Collaboration and close coordination between the two groups.
Leader: Dr. Mildred McClain
Key Activities by Objective
1.1 Designate Subcommittee member as 1Q '03
liaison to the FFWG
Start Date Completion Date
1Q '03
Request assignment of new DFO
for FFWG
1Q '03
1Q '03
Deliverable
Assigned
representative
Assigned DFO
1.2 Provide direct feedback to FFWG work 2Q '03
2Q '03
Feedback to
FFWG on case
studies
selection
3Q '03
4Q '03
Comments
on FFWG
draft report
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1.3 Develop Subcommittee Workgroup to 3Q'03
research and compile available resources
to communities
1Q '04
Develop report
with list of
resources
1.4 Invite to Subcommittee meeting the 2Q '03
appropriate parties to start dialogue
2Q'03
Meeting with
agencies and
communities
Critical Success Factors:
Appropriate selection of diverse case studies reflecting geographical, ethnic, racial, and
cultural diversity
Involvement of community, organizations and grassroots groups as well as federal
agencies
Appropriate implementation of Memorandum of Understanding between EPA and other
federal agencies (already in place)
Development of effective case study methodology
Productive collaboration between W&FS Subcommittee and FFWG
Contractor support
Supporting Organizations:
DOD
DOI
USDA
GSA
HUD
Internal
NEJAC Subcommittees (as needed)
Office of Environmental Justice
OSWER
External
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GOAL 2: Foster community-based planning approaches for the reuse of property that
will promote sustainability, properly weigh impacts of cleanup, and foresee
and forestall unintended consequences such as gentrification and
displacement.
Objective 2.1:
Evaluate six case studies to identify lessons, success factors and
challenges for community involvement in reuse planning.
Objective 2.2:
Research existing authorities that EPA can use to assist
communities in planning and reuse.
Products/Results:
Report that identifies how fewer unintended consequences can be obtained
as the result of EPA cleanup and redevelopment actions and what are EPA
authorities to assist communities on better planning.
Desired Outcome:
More direct and positive contacts between EPA and communities and
better understanding of the impacts of EPA actions on the affected
communities.
Leaders:
Mosi Kitwana and Michael Lythcott
Key Activities by Objective Start Date Completion Date Deliverable
2.1 Selection and evaluation of case studies 1Q'03 3Q'03 Report and
recommendations
2.2 Develop Subcommittee Workgroup to 4Q'03 2Q'04 Develop report
do research and identify EPA authorities with list of
authorities
Critical Success Factors:
• Appropriate selection of diverse case studies reflecting geographical, ethnic, racial, and
cultural diversity.
Appropriate selection of diverse case studies reflecting EPA/OSWER programs
(Brownfields Showcase Communities, Superfund Reuse Initiative, BRAC, etc.)
Development of effective case study methodology, learning lessons from successes as
well as failures.
Contractor support.
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Supporting Organizations:
Internal
Performance Track Program
• Office of Environmental Justice
OSWER
External
ICMA
Regenesis, Inc.
Federal Interagency Working Group on Environmental Justice (IWG)
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GOAL 3: Influence land use issues and initiatives within OSWER as they develop to
make them as sensitive as possible at the outset to environmental justice
issues and to ensure that environmental justice goals are incorporated into
the implementation of OSWER Six Priorities.
Objective 3.1:
Establish ongoing contacts with OSWER staff responsible for the six
primary OSWER priorities identified by Assistant Administrator
Marianne Lamont Horinko.
Objective 3.2:
Provide ongoing advice and input to OSWER through NEJAC on
developing initiatives that concern land use issues.
Objective 3.3:
Products/Results:
Desired Outcome:
Leader:
Develop a small-scale communications strategy template to help
manage expectations and enhance the usefulness of forums such as
listening sessions and other tools to gather input on the issue.
Strong and effective policies and initiatives from OSWER that are sensitive
to environmental justice issues, responsive to community needs, and further
environmental justice where possible.
Collaborative and close coordination between the Subcommittee and
OSWER management, maximizing opportunities to provide input to OSWER
on subjects it identifies as keenly important.
Mary Nelson/Denise Feiber
Key Activities by Objective
3.1 Designate Subcommittee
OSWER priority lead
Track progress
Start Date Completion Date
1Q '03 1Q '03
1Q '03
Ongoing
Deliverable
Assigned
representative member
Develop tracking
chart
3.2 Communication with OSWER 1Q'03
management
Provide requested feedback 1Q '03
Ongoing Bi-annual meetings
Ongoing Feedback to OSWER
on guidances (grants,
Revitalization
Agenda)
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3.3 Develop Subcommittee Workgroup 2Q '03 4Q '03
to develop strategy
Develop
Communication
Strategy
Critical Success Factors:
• Request for advice and early involvement in the development process for new OSWER
initiatives.
Clear understanding of OSWER initiatives through briefings from senior managers and
other staff.
Supporting Organizations:
DOD
DOI
USDA
GSA
HUD
Internal
NEJAC Subcommittees (as needed)
Office of Environmental Justice
OSWER
External
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NEJAC MISSION STATEMENT
The EPA National Environmental Justice Advisory Council (NEJAC) was established on
September 30, 1993. The Council is chartered in two year increments. The NEJAC's mission is
to provide independent advice and recommendations to EPA that will help to improve direction
and implementation of environmental justice programs and initiatives as defined in its charter.
NEJAC's advice and recommendation shall be directed toward:
Advice on EPA's framework,
development for integrating
socioeconomic programs into
strategic planning, annual
planning and management
accountability for achieving
environmental justice results
agency-wide.
Advice on measuring and
evaluating EPA's progress,
quality, and adequacy in planning,
developing, and implementing
environmental justice strategies,
projects, and programs.
Advice on EPA's existing and
future information management
systems, technologies, and data
collection, and to conduct
analyses that support and
strengthen environmental justice
programs in administrative and
scientific areas.
Advice to help develop, facilitate,
and conduct reviews of the
direction, criteria, scope, and
adequacy of the EPA's scientific
research and demonstration
projects relating to environmental
justice.
Provide advice for improving
how the EPA and others
participate, cooperate, and
communicate within the Agency
"and between other Federal
agencies, State, or local
governments, Federally
recognized Tribes, environmental
justice leaders, interest groups,
and the public.
Advice regarding EPA's
administration of grant programs
relating to environmental justice
assistance (not to include the
review or recommendations of
individual grant proposals or
awards).
Advice regarding EPA's
awareness, education, training,
and other outreach activities
involving environmental justice.
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SUBCOMMITTEE OVERVIEW
Historical Perspective
The clustering and disproportionate siting of noxious facilities in low-income, minority
communities led to the creation of the environmental justice movement. NEJAC formed the
Waste and Facility Siting (W&FS) Subcommittee as one of its original subcommittees,
immediately after the NEJAC was formed. The Subcommittee was created to conduct a factual
examination of waste transfer station siting and operation, with a focus of alleviating the impacts
of clustering, disproportionate siting, and unsafe operations in low-income, minority
communities.
Historically, the W&FS Subcommittee has served as a sound board for new policy from
its sponsoring EPA office, the Office of Solid Waste and Emergency Response (OSWER). The
effort has produced new policy on environmental justice in OSWER's waste programs. The
original focus on waste and facility siting has evolved to include aspects of the waste programs
that include waste minimization, brownfields redevelopment, and land reuse and planning.
Accomplishments
Since its inception, the W&FS Subcommittee has worked to advise EPA on how to
address effectively site specific issues of concern regarding facility siting raised by communities
during the NEJAC meeting public comment periods. Additionally, the W&FS Subcommittee has
supported creative approaches to addressing the need for incorporating meaningful community
involvement in a variety of EPA efforts.
Public dialogue meetings conducted by the NEJAC facilitated EPA's initial work under
the Brownfields program. After holding five meetings in various areas of the country, with more
than 500 people attending, the Subcommittee produced a report that documents the comments
received about the development and revitalization of brownfields properties.
In addition, the dialogue brought attention to EPA and action on several significant
issues, including:
The development, under the Brownfields National Agenda and Showcase
Community effort, of models of coordination and collaboration for communities
in which brownfields properties are located: to date that effort has garnered more
than $900 million in investments for 28 communities.
Social aspects of the siting of waste facilities, with EPA advising state and local
governments about social issues related to the siting of such facilities, rather than
focusing solely in geophysical and structural issues.
To address the issue of location of waste transfer stations, an extremely
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controversial issue in New York City and many other large cities, the
Subcommittee prepared a report in concert with the National Solid Waste
Management Association that described guidelines for best practices.
Documents produced by the W&FS Subcommittee during its existence are:
• A Regulatory Strategy for Siting and Operating Waste Transfer Stations, March
2000.
• Environmental Justice, Urban Revitalization, and Brownfields: The Search for
Authentic Signs of Hope - A Report on the "Public Dialogues on Urban
Revitalization and Brownfields: Envisioning Healthy CommunitiesDecember
1996.
Input from the Subcommittee was provided for the following EPA documents:
Sensitive Environments and the Siting of Hazardous Waste Management
Facilities, 1996.
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MEMBERS IN SUBCOMMITTEE GOALS WORKGROUPS
Goal #1, Federal Facilities Working Group
Members from W&FS Subcommittee:
Dr. Mildred McClain
Goal #2, Unintended Impacts Group
Members from W&FS Subcommittee:
Mosi Kitwana
Michael Lythcott
Bob Collin
Veronica Eady
Denise Feiber
Randall Gee
Butch Wardlaw
Goal #3, Ongoing Advice Group
Members from W&FS Subcommittee:
Mary Nelson
Denise Feiber
Donna McDaniel
Michelle Alvarez
Veronica Eady
Randall Gee
Mosi Kitwana
Michael Lythcott
Dr. Mildred McClain
Holly Welles
-12-
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Region 6 Environmental Justice Listening Session
Cosponsored by Environmental Protection Agency, Region 6 Dallas, Texas and
Texas Southern University - Thargood Marshall Law Clinic
Marriott Hotel (9100 Gulf Freeway, Hobby Airport)
November 14 - 16, 2002
THURSDAY, NOVEMBER 14
5 30 - 8 00 p.m. Registration
Social Hour - "Meet and Greet"
7 00 - 8 30 p.m. Panel members meet
5:30 -9.00 p.m. EXHIBITS
FRIDAY. NOVEMBER 15
8:30 - 9.00 a.m. Registration
9:00 - 9:20 a.m. Opening Welcome - Moderator - Sunita Singhvi, EPA)
Larry Starfield, Deputy Regional Administrator, EPA, Region 6
McKen V. Carrington, Interim Dean of Thurgood Marshall School of Law,
Texas Southern University
Dr. Pamela Berger, Director of Environmental Policy
Mayor's office, City of Houston
Richard Moore, Director,
Southwest Network for Environmental and Economic Justice
Lydia Gonzalez Gromatzky, Deputy Director,
Office of Legal Services, Texas Commission of Environmental Quality
Jim Friloux, Ombudsman, Office of the Secretary,
Louisiana Department of Environmental Quality
Charles Lee, Associate Director for Policy and Interagency Liaison, EPA
Alberta Hasten, President, Louisiana Environmental Action Network
9.4C - 9:50 a.m. Welcome and Conference Overview - Sunita Singhvi, EPA
9:50 - 10:00 a.m. Responsibilities of Participants and Facilitators- Mary Wilson, EPA
10 00- 10:15 a.m. Break
1015 - 11:45 a m. Plenary Session 1: "Perspectives on Environmental Justice in Region 6"
(Building Coalitions/ Collaboration, Success and Challenges etc) .
(Moderator - Marylee Orr, LEAN and Sunita Singhvi, EPA)
11 45 - 1:00 p.m.
Lunch (on your own)
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1.00 - 3 00 p.m.
3:00-3 15 p.m.
3:15 - 4 45 p.m.
4:45 - 6:30 p.m.
6:30 - 8:30 p.m.
Plenary Session 2: "Employment & Worker Training"
(Moderator - Richard Moore, SNEEJ and Sunita Singhvi, EPA)
Break
Plenary Session 3: "Permitting & Public Participation"
(Moderators - Martina Cartwright, TSU)
Dinner (on your own)
Open Mike (Public will have opportunity to speak - speakers must pre-
register) (Moderator - Martina Cartwright, Juan Parras, TSU)
SATURDAY, NOVEMBER 16
8:30 - 10:15 a.m.
Enforcement & Supplemental Environmental Projects
(Moderator - Marylee Orr, LEAN)
Facility Siting
(Moderator - Florence Robinson, LEAN)
Breakout 1 A
Breakout 2 B
10:15 - 10:30 a m. Break
10:30- 12:15 p.m.
U.S. Mexico Border
(Moderator - Jody Henneke, TCEQ)
Good Neighbor Initiative, Property Purchase
Options and Relocation
(Moderator - Shirley Augurson, EPA)
Breakout 2A
Breakout 2 B
12:15 - 1:15 p m. Lunch (onyour own)
1.15 - 2:15 p.m. Planning Sessions:
Pesticides & Farm workers Breakout 3 A
Water Wastewater Treatment & Infrastructure Breakout 3 B
Open Mike (Ballroom)
(Moderators - Martina Cartwright and Juan Parras, TSU)
2:15-3:00 pm.
3:00 - 3 45 p.m.
3:45-4:15 p.m.
Break - (Committees work on Action Plans)
Report out on Action Plans Panel members
Closing Remarks Larry Starfield/ Marylee Orr
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Facilitators - F.PA' Connie Suttice, Janice Bivens, Verne McFarland, Amadee Madril, Richard
Wooster, Mary Wilson, Karen Bick and from Georgia Tech Research Institute, Claudia Huff
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Native American representative of Southwest Network queries Ms tuanjta Stewart ofA)sea LA miKes public comment on behalf of
the residents of Alsen LA
.Angel from Southwest Workers Union speaks on behalf af
citizens of the Greater Kelly Community which borders former
Kelly Air Force Base in San Antonio , TX
Moderator Florence Robinson of LEAN explains the purpose
and objectives of the Citizens Fonim on Siting
Stakeholder: convene for the Enforcement and Supplemental
Marylee Orr and Albertha Hasten of LEAN inspires the group with a
song during the closing ceremony
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Charles Lee. Deputy Director of HQ. OEJ offers comments on
headquarters initiatives.
Representatives of Department of Labor v ere on tu:id ji the Exhibit
Area to advise stakeholders
Region 6 management and staff pause for a second to "cheese" for the
papparazzi
Region 6 OEJ display serves as centerpiece of the Lisienirg Session
Exhibit Area
Emil Guidrv of Ready Inc. addresses employment opportunities
Shirley Brooks, NEJAC Member Wilma Subra. Chavel
Lopez Executive director of Southwest Work jrs Union,
and Juanita Stewart of Alsen await their opportunity to
question the panelists or make public statements
State Representative A1 Edwards discusses efforts by citizens
of his district to stop operation of a concrete crashing
operation in Houston
Jody Hermeke of TCEQ moderates Permitting Breakout Session as
Wendy Jacques of EPA and Jim Frilieu of LDEQ look on
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U.S. Environmental Protection Agency, Region 6, Dallas, TX
Office of Environmental Justice
Presented to the
National Environmental Justice Advisory Committee
by Larry Starfield, Deputy Regional Administrator, Region 6
and
Richard Moore, Executive Director, Southwest Network for Environmental
and Economic Justice
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2002 Region 6 Environmental Justice Listening Session
Goals and Objectives
The Region 6 Environmental Justice (EJ) Listening sessions are interactive, solution-oriented
dialogues conducted with community representatives, and in partnership with State, Tribal,
Federal, local and municipal government representatives and industry. EPA Region 6, in
partnership with Texas Southern University, convened the first Region 6 EJ Listening Session in
Houston, Texas on November 14-16, 2002. The purpose of these listening sessions was to
engage in active discourse, on topics ranging from general to specific areas of common
interest/concern, and to work effectively toward mutually beneficial solutions.
Process:
EPA Region 6 and the Listening Session cosponsor, Texas Southern University, worked with a
diverse group of stakeholders to plan the Listening Session. The planning committee included
community-based organizations, academia, industry, and governmental representatives at the state
and Federal level. Planning committee participants identified a broad array of topics for
discussion at the first listening session. Six of the identified topics were selected for discussion at
the session: Enforcement and Supplemental Environmental projects; Permitting and Public
Participation; Relocation; Facility Siting; U.S./Mexico Border issues; and Employment and
Worker Training. Two additional topics (Water/wastewater and infrastructure & Pesticides and
Farmworker"*ssues) were discussed during a breakout session to plan for future meetings.
In addition to EPA, state environmental departments from Texas (Texas Commission on
Environmental Quality) and Louisiana (Louisiana Department of Environmental Quality) were
active participants in the Listening session planning process. TCEQ and community leaders also
co-moderated some of the sessions.
Session Goals:
• Provide EJ community representatives in Region 6 with an opportunity to dialogue among
themselves and with government and industry decision-makers to address concerns facing
their respective communities.
• Gather input and share information from communities on environmental, health, and
quality of life concerns;
Establish and strengthen working relationships between and among community
representatives, EPA and other government agencies, in order to secure long-term
partnerships;
• Educate Agency officials on communities' environmental, health and quality of life
concerns and, concurrently, educate the community on the role of government in
addressing those concerns;
• Discuss collaborative strategies to address potential environmental health risks;
Focus attention on issues relative to a particular environmental regulatory program; and
• Share information resources and contacts, as necessary.
Next Steps - "After the Listening Session":
The workgroups formed to address topics in this Listening Session will continue the collaborative
process after the Listening Session to address the issues identified in this process.
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FY 2003 Region 6 EJ Listening Session
Planning and Preparation
STEERING/PLANNING COMMITTEE
In order to maximize the opportunity for success, EJ Team solicited membership of the
Steering/Planning Committee from among key EJ stakeholders in the Region
• EJ Advocacy Groups (i.e., SNEEJ, LEAN)
• State Environmental Agencies (i.e., TCEQ, LDEQ)
Industry Representatives (i.e., Louisiana Chemical Association, Exxon-Mobil)
Academic Institutions (TSU-Thurgood Marshall School of Law, Xavier University of La.)
• Other federal Agencies (i.e., HRSA, ATSDR)
This committee was valuable in securing stakeholder input and innovative ideas, ensuring buy-in,
identifying stakeholder needs and selecting key players and resource persons. The Steering/
Planning Committee was instrumental in accomplishing the following:
• Identifying the key issues for consideration at the listening session;
Recommending establishment of workgroups to develop white papers to further define the
issues;
Recommending membership of workgroups;
Planning the agenda and logistical plans for the listening session;
Overseeing the activities of the workgroups;
Established official ground rules and meeting goals/objectives;
• Conducting the listening session.
The Steering/Planning Committee met weekly via conference call to discuss and make decisions
on various issues in the planning process.
ISSUE-ORIENTED SUBCOMMITTEES
For each issue identified by the steering committee, an issue-oriented subcommittee was formed.
Each subcommittee consisted of a Monitor from the R6 OEJ and a Subcommittee chairperson
from the appropriate media program. Citizen, industry, State, and academic stakeholders served
as members. Working under the authority of the Steering Planning Committee, the
subcommittees met as frequently as necessary (1-3 times a week) to
Develop issue papers;
• Plan the agenda for each break-out session;
• Select key personnel to serve as panelists, and discuss logistics.
Issue papers were important to frame the issues so that the breakout sessions would be focused
for maximum effectiveness.
CO-SPONSOR
To assist in execution of conference logistics, Texas Southern University was recruited to serve as
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co-sponsor. The university was invaluable in performing, such tasks as:
• Assisted EPA in selecting, negotiating and contracting the hotel, which served as the
venue for the conference;
• Performed all mail-outs announcing the conference;
• Disbursed travel and accommodation scholarships to participants;
• Arranged for personnel to assist in conference operation: registration, recorders,
reproduction, transcription of open mike sessions.
MONITORS
Monitors were EJ staff persons who were responsible for coordination of all activities related to
the planning and conducting of the issue-oriented sessions. Their responsibilities included:
Setting up and notifying participants of all subcommittee conference calls;
• Presiding over conference calls in coordination with the subcommittee chairmen;
• Keeping and distributing minutes of all conference calls and meetings;
• Coordinating with facilitators and moderators;
• Attending to all logistical arrangements for their individual sessions;
MODERATORS
Moderators were recruited to preside over each session and moderate the discussion. All
facilitators were non-EPA stakeholders. Most were citizen stakeholders. Moderators were
responsible for:
• Opening the session and introducing panelists;
• Framing the subject matter for the session;
Keeping the discussion focused on the subject matter;
Summarizing the issues, findings, and action items from the session.
FACILITATORS
Facilitators were recruited to assist in conducting the plenary and issue-oriented breakout
sessions. The facilitators performed the following tasks:
• Assisted the moderator in ensuring that the time frames for the sessions were strictly
adhered to.
• Assisted the moderator in keeping the discussion focused;
• Used flip charts to keep open notes of the session ensuring that stakeholder comments and
issues are properly documented.
Most facilitators were trained, experienced EPA (non-OEJ) personnel.
RECORDERS
Recorders were appointed to keep detailed written notes of each session. These notes become
part of the written record of the Conference. For each Open Mike session, the Recorder was a
court reporter who produced a stenographic record of the session.
TIMEKEEPERS
Time keepers were responsible for operating the timer to keep speakers, panelists and public
commentors within specified time limits.
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FY 2003 Region 6 EJ Listening Session
Ground Rules (Group Norms)
FACILITATORS
Facilitators are neutral. They will shepherd the process without interfering in content.
Protect group from domination by a single person or perspective.
Promote participation from all present.
Balance time constraints with need for open discussion.
Keep group on task and moving forward.
PARTICIPANTS
One person speaks at a time; please wait for the facilitator to recognize you.
Share ideas, questions, reflections, concerns, keeping remarks to three minutes or less.
Actively listen, maintain an open mind, and respect other points of view.
Avoid side conversations and cross-examinations.
Accept ownership of the process and the results.
When appropriate, criticize ideas or behaviors, but not people.
Assume peer relationships. We're all here to learn.
Help facilitator promote full participation.
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FY 2003 Region 6 EJ Listening Session
DRAFT ACTION PLANS
(for consideration by the Steering/Planning Committee)
Recommendations: Permitting & Public Participation
• Explore publishing notice in prominent place, % page (States)
• Provide information on grants that may be available for technical assistance to
communities for permitting (EPA & States)
• Consider extending comment period on complex permits (States)
• Explore issuing earlier public notice of permit application before completeness
determination (States)
• Replicate Industry/Community Advisory Panel Model (Communities/Industries)
• Get and circulate write-up of Charlton-Pollard model(EPA)
• Identify public documents not expressed in plain English (Communities)
Recommendations: Enforcement & SEP's
Enforcement Division Director to visit one community group in all 5 Region 6 States.
(EPA)
• Work toward more and earlier involvement of communities in enforcement negotiations
and SEP development. (EPA)
• By 10/03, develop a process for notifying the public when an enforcement action is filed.
(EPA)
• Provide better information to the affected communities on process upsets and accidental
releases. (EPA, States)
• Provide emphasis in identification and better evaluation/rules with regard to water runoff
and ground water contamination. (EPA, States)
• Refer Rio Grande water quality issues to the US/Mexico Border team and Water Quality
Division. (EPA)
• Refer a request for better Toxic Release Inventory information to the appropriate entities.
(EPA)
• Contribute ideas for Supplemental Environmental Projects (SEP) Bank (air, water and
waste projects). (Communities)
Stakeholder Issues Raised During the Citizen Forum on Siting
• Consider conditioning State grants to include EJ.
Explore making overall U.S. compliance history a condition of siting/permit renewal.
• Establish bridge between communities & industry (joint panel) with Community deciding
representation.
• Explore changing permitting rules so that name or ownership changes trigger requirement
to apply for new permit.
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• Eliminate portable permits.
Recommendations: U.S.-Mexico Border
Integrate and implement EJ in all the programs and activities of the U.S.-Mexico Border
Program. Include this language in the Border 2012 planning documents. A "bottom-up"
approach, rather than a "top-down" approach should be adopted. (EPA)
Keep the commitment made in 2000 to hold another Border EJ Roundtable for border
stakeholders, grassroots EJ organizations and state and federal agencies. The meeting will
be hosted by the Border Environment Cooperation Commission. (EPA, BECC)
Explore the possibility of establishing an EJ Border Commission composed of individuals
representing grassroots EJ groups. This group would meet with border EJ communities
to listen to their concerns. The Commission could possibly be an advisory group to
NEJAC, or it could serve as a taskforce under the Border 2012 Program to support and
ensure "up-front" community involvement. (EPA)
Get Mexico to agree to let the U.S. assist in remediating sites such as Gato Negro and
Candados Presto, etc. (EPA, U.S. State Department, SEMARNAT)
Promote stronger/stricter enforcement of environmental statutes (EPA):
Track down responsible parties;
Impose & collect significant penalties from violators;
Stress Prevention over remediation;
Aim at a measurable reduction in pollution.
Improve HAZTRAKS in its implementation and use. (EPA)
The entire U.S.-Mexico border area (from the Atlantic to the Pacific) should be made into
a separate federal Region (Region 11) so that it would receive the attention and resources
it deserves. (EPA)
Recommendations: Good Neighbor Initiative; Property Purchase & Relocation
Provide emergency plans to communities. (Industry)
• Create a "lessons-learned" database to improve relocation process.
Give back percentage of industry tax credits to community. (Industry)
• Prohibit use of remediated sites from residential use. (EPA/States)
• Develop a way to monitor and respond to after hours releases. (EPA/States)
Miscellaneous Recommendations
Explore in-kind assistance options for laboratory services. Report back in '03 EJ
Listening Session. (EPA/States)
HRSA report on plans for educating health workers & communities '03 EJLS. (HRSA)
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FY 2003 Region 6 EJ Listening Session
LESSONS LEARNED
Based upon Stakeholder feedback from conference participants, the EJLS was very successful as
it met stakeholder expectations. The following outlines key approaches that facilitative in that
success:
r
• Establishment of an all-stakeholder steering committee was valuable in producing a sense
of stakeholder buy-in and ownership in the process
• Regularly scheduled conference calls (each Thursday @ 10:00 am) ensured maximum
stakeholder participation in Steering committee deliberations.
Extensive discussion and consideration of the EJLS Concept Paper on the part of Steering
Committee members made planning effort easier and more effective.
• Minutes of each steering committee meeting was distributed immediately following the
meeting.
The Steering Committee established the date and venue of the conference very early in the
planning process facilitated more effective logistical planning.
Partnering through a cooperative agreement with Texas Southern University afforded
more flexibility in executing conference logistics.
The following suggestions may result in even greater success in future listening sessions .
• Conference notifications should be mailed as early as possible.
• Number of panelists should be limited to permit more time for public comment and Q&A.
• Number of issues should be limited to permit more extensive discussions of selected
issues.
• Conference duration should be no more than 1-1/2 days to maximize use of participants'
time and resources.
Conducting EJ Listening sessions in each state in lieu of a regional session may afford
more accessibility to EJ stakeholders by cutting down on travel distance and time. State
environmental agencies would be more engaged if they are involved as sponsors or co-
sponsors for their respective states.
While state-wide sessions may be the preferred, holding the first EJLS as a regional event
was beneficial in demonstrating to participants, especially future State sponsors, how such
a session could be conducted. There may also be an advantage in having a Regional EJLS
every few years.
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AGENDA
NEJAC Waste and Facility Siting Subcommittee
Wednesday, December 11, 2002
Marriott Hotel Baltimore Inner Harbor, Maryland
Meeting room - West Ballroom
8:30 a.m. Introductions (Veronica Eady - Chair, Kent Benjamin - DFO, Asst. Administrator
Marianne Horinko and Marjorie Buckholtz)
9:00 a.m. Review of Strategic Plan (Veronica Eady, et. al.)
9:30 a.m. NEJAC Federal Facilities Working Group Status Report (Dr. Mildred McClain,
Jim Woolford and Trina Martynowicz- EPA/FFRRO)
11:00 a.m. Developing Recommendations for OSWER Assistant Administrator Marianne
Horinko's Six OSWER Priorities in the NEJAC Context. (Mary Nelson and
Veronica Eady)
12:30 p.m. Lunch Break
1:30 p.m. Unintended Impacts Work Group Issues and Status Report (Michael Lythcott and
Suganthi Simon - EPA/OSWER)
3:00 p.m. Pollution Prevention Projects Related to Worker Training and Homeland Security
(Sharon Beard- NIEHS, and Brian Christopher - Alice Hamilton Occupational
Health Center/NPRF)
3:30 p.m. OSWER Pollution Prevention and other Topics
Waste Minimization Programs - (Jim Lounsbury EPA/OSW)
E-permitting (Vern Myers - EPA/OSW)
4:30 p.m.
5:00 p.m.
Region 6 Listening Session: Lessons Learned (Sunita Singhvi R6)
Wrap-up
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FACT SHEET
RCRA Electronic Permitting
Making permitting more efficient and effective through the use of computer technology
The U.S. Environmental Protection Agency (EPA) is implementing a new project, the RCRA
Electronic Permitting Project also known as RCRA e-permitting. The goal of this project is to
make the RCRA permitting program more efficient and effective. We plan to improve the
effectiveness and efficiency of the RCRA permitting program by assisting states that are
investing in e-permitting systems, working with states to pilot RCRA e-permitting approaches,
developing RCRA e-permitting tools, and facilitating the sharing of permit information with the
public.
What Is E-permitting?
E-permitting is a paperless electronic-based system that supports the issuance of permits. There
are many levels of sophistication to e-permitting systems. Some systems are simple and provide
permit forms, permit policies, and regulations through the internet. Simple systems can also
include electronic tracking systems that identify and communicate key permit milestones. More
comprehensive systems can integrate air, water, and waste permitting programs. These systems
can provide guidance and tracking capability, along with tools to assist with permit application
preparation, application submittal, and permit preparation, permit issuance, and compliance
reporting.
No one e-permitting system is appropriate for all states. Some states that are implementing the
RCRA program may decide that a simple permit guidance and tracking system is all that they
need. Other states may decide that permit preparation tools are more important. Whatever the
states decide is best for their situation, EPA believes in flexible approaches for the
implementation of RCRA e-permitting.
Why Is EPA Pursuing RCRA E-Permitting?
The issuance of RCRA permits is a cornerstone of the EPA's mission to ensure the protection of
human health and the environment. RCRA permits provide for the safe management of
hazardous waste. However, the RCRA permitting process continues to be a resource intensive
activity. Facilities prepare complex permit applications that are voluminous. Permitting
agencies are required to review these complex applications and make decisions on the adequacy
of submitted material. In many cases the permitting agency requests additional information from
the permit applicant. Because of the unwieldy nature of the permit application and review
process, RCRA permitting is extremely time consuming.
EPA believes that recent advances in computing can make the RCRA permitting process more
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efficient and effective. Several states have comprehensive e-permitting systems, albeit not for
RCRA permitting. Most e-permitting systems that are being used by states involve either air
permitting or water permitting. We are interested in taking advantage of experiences that states
have had with these systems to facilitate the development of RCRA e-permitting tools.
What Specifically Will EPA Be Doing?
EPA has several specific project that support RCRA e-permitting:
Assist States in Selecting E-Permitting Systems. Since states issue most RCRA
permits, we are gathering information on selected state e-permitting activities and
summarizing the results of this investigation. Based on the information collected, we will
develop a list of desirable attributes of a RCRA e-permitting system. This list is intended
to help states or EPA regional offices that are designing or purchasing comprehensive
e-permitting systems.
Work with States to Pilot E-Permitting Approaches. We visited several states to
perform an in-depth analysis of their state e-permitting systems. The goal of this analysis
is to identify a few states that would be willing to partner with EPA to develop RCRA e-
permitting tools.
• Develop RCRA Components for E-Permitting Systems. We are developing model
permits for the RCRA standardized permit rule that is expected to be promulgated in the
spring of 2003. In conjunction with developing these model permit sections, we are
looking at specific permit application requirements that would support the model permit
conditions. We are also looking into the feasibility of developing a RCRA standardized
model permit application.
Develop Electronic Forms to Assist RCRA Permitting. We are automating the Site
Identification Form and the Hazardous Waste Permit Information Form. Electronic
versions of these forms should be available in 2003. Facilities will eventually be able to
submit these forms via the web to the appropriate permitting agency.
Facilitate Public Involvement in RCRA Permitting. We will continue to engage
stakeholders in this process to solicit their input on the direction of this project. We will
also promote better access to information and databases that would be helpful in making
permit decisions.
Where Can I Find More Information On E-Permitting?
EPA has a fully functional web site where you can find more detailed information on
e-permitting. The site has many links to useful e-permitting tools. The address is:
http://www.epa.gov/epaoswer/hazwaste/permit/epmt/epermit.htm. The web site has information
on functional state e-permitting systems, state on-line permit information systems, model RCRA
permits, EPA online facility information systems, state hazardous waste programs, and RCRA
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regulations. In addition, the web page has general information about the RCRA e-permitting
project.
EPA produce a report in 2001 titled: "Electronic Permitting in U.S. EPA's Delegated Programs:
A Review of an Emerging Landscape." This report is available on our web site. The report
examined a limited number of existing electronic permitting systems being used by state agencies
for environmental permits. Because this study was a survey, it was not a comprehensive review
of e-permitting systems in all 50 states.
How Is EPA Involving Stakeholders In E-Permitting?
In July 2002, we held a meeting of RCRA co-regulators. Eleven states and EPA participated in
this meeting. The theme of the meeting was "How do we make RCRA permitting more effective
and efficient through the use of modern technology?" In October 2002, we followed up with a
meeting of states, EPA, industry, and non-profit groups. At this meeting, we received further
direction on our e-permitting effort. Notes from these meetings can be found on our web site. In
early 2003, we would like to meet with community and industry partners to further refine this
project.
We will periodically provide updates on the RCRA e-permitting project and continue to solicit
stakeholder input. Most updates on this project will be issued through email and our web site.
We maintain several e-permitting email lists. If you would like to be added to one of these lists,
please contact Vernon Myers at mvers.vernon@,epa.aov.
How Can I Participate In The RCRA E-Permitting Program?
You can participate in EPA's RCRA e-permitting program by providing your input on
e-permitting and commenting on draft e-permitting documents. Our e-permitting web site is
periodically updated and includes: draft reports, e-permitting tools, and other useful e-permitting
information. You can also email Vernon Myers to request information on the latest project
developments and direction.
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The Resource Conservation
Challenge
and Environmental Justice
Presented by
Janette Petersen
Acting Associate Division Director
Hazardous Waste Minimization and Management
Division, OSW
December 2002
p&t-£-rwi .jwett-e e epa. ao\j
703- 303 -
The Resource Conservation Challenge
and Environmental Justice
I What is the Resource Conservation
Challenge?
I Why are we implementing it?
I Examples of RCC EJ projects
I Focus on the Waste Minimization
Partnership program
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What is the RCC?
I A program to encourage:
I Greater recycling
I More waste reduction
I Better recovery of energy from waste
I Challenges ALL Americans, from consumers to
government to industry, to take one small
action each day to conserve our natural
resources.
Why are we doing this?
¦ RCRA's two original objectives:
¦ - create better systems of waste management
¦ - recover valuable materials and energy from
wastes
¦ We're STILL too wasteful!
¦ 30 million tons of hazardous waste
I 650 billion tons of non-hazardous industrial waste
I 136 million tons of construction and demolition waste
I 6 5 billion tons of "special waste" generated by mining and mineral processing, oil
and gas, fossil fuel and the cement industry
I 230 million tons of municipal solid waste generated in 2000
?
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We've Set Two Specific Goals
I Increase the national recycling rate
to 35% by 2005
B Cut the presence of 30 priority
chemicals in hazardous waste by
50% by 2005
RCC EJ Projects
Engaged in many projects and activities nationwide that
apply common sense approaches
(www.epa.qov/osw/conserve')
Examples of EJ oriented projects
- Helping Tribes Reduce Waste and Protect the
Environment
- Joining with Native Americans to Increase Awareness
- Implementing Hispanic Outreach
- Reaching out to Educate Urban African-American
Consumers
3
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Helping Tribes Reduce Waste
and Protect the Environment
Joint venture with Department of Housing and Urban Development
and EPA Region 5
- Developing a 5-day course on sustainable development rural areas
- Working with the Fon du Lac Band of Chippewa Tribe to provide
pollution prevention training to Region 5 Tribes in areas such as
- health care facilities
- schools
- casino/hotel operations
- construction/demolition projects
- Working with the Oneida Tribe in Wisconsin to create a pollution
prevention ordinance ensuring that waste reduction; energy, water
and resource efficiency; and conservation of natural resources are
incorporated in the tribe's development planning
Point of Contact: Dolly Tong; tong.dolly@epa.gov
Joining with Native Americans to
Increase Awareness
I EPA HQ is working with tribal governments and
Native American organizations such as the Tribal
Association of SolicfWaste and Emergency
Response
I Implementing outreach strategies for waste reduction, recycling,
and neighborhood revitalization on tribal lands
I Developing case studies documenting successful programs for
source reduction, recycling, and prevention of illegal dumping
I Developing educational materials on sound environmental
practices for Native American small businesses
Point of contact: Chris Dege; dege.chris@epS.gov
4
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Implementing Hispanic
Outreach
I EPA has developed a National Hispanic Outreach
Strategy
I Directs EPA program offices to expand outreach
activities and build community partnerships with the
Hispanic community
I EPA is designing a series of business outreach
products for used oil management
I EPA is developing exhibit booths which are tailored to
the Hispanic community and will be used at Hispanic
oriented conferences and exhibits
Reaching Out to Educate Urban
African-American Consumers
I EPA is developing a series of communication
tools targeted to the urban African-American
community
l Designed to provide education on environmental
issues of concern to urban African-American
communities, such as lead paint
I Media venues include music DVDs and the Black
Entertainment Television Network
Point of contact: Deb Gallman; gallman.deb@epa.gov
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The National Waste
Minimization Partnership
Voluntary program for Hazardous Waste
Generators
I Focuses on reducing generation of hazardous
wastes containing any of 30 WM Priority
Chemicals
I Recognizes reductions beyond permit
requirements
National Waste Minimization
Partnership (cont'd)
I Recognition Opportunities:
I Certificates for participation
I Certificates for accomplishing goals
I Recognition of accomplishments & case studies on
National Website
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Partnership Programs (cont'd)
I National Waste Minimization Partnership (cont'd)
I Status of this new program:
I 5 charter members enrolled
I Information Collection Request will be published in
Federal Register
I Web page detailing program now available
(www.epa.gov/wastemin)
I Plan to enlist 100 partners reducing Priorities by 2005
(25 in FY 2003) ¦
Point of contact: Newman Smith; smith.newman@epa.gov
Are "EJ Waste Minimization
Partnerships" a Good Idea?
"EJ Partnerships" could build on EPA's WM Partnership Program to
identify and work with hazardous waste generators in voluntary
"beyond compliance" partnerships. This project could:
I Identify generators of Waste Minimization Priority Chemicals that
are located in areas of concern to the Subcommittee;
I Invite companies to form voluntary partnerships with EPA, State
government, and community groups to reduce hazardous waste
generation using pollution prevention and recycling technologies;
I Track progress using EPA's recently published Waste Minimization
Trends Report; and
I Publically recognize companies that make significant progress in EJ
communities.
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EJ Waste Minimization
Partnership - next steps
I Will this kind of recognition program
achieve positive environmental results in
EJ communities?
I If so, we need your help in geographically
identifying EJ communities and the
facilities that directly affect them so that
we can invite them to join this voluntary
effort.
Questions?
Jim Burlow, Director, HWMMD
703-308-8414
BurlouqhJim(S)epa.qov
Thea Mcmanus, Acting Director, MISWD
703-308-8738
Mcmanus.Thea@epa.gov
Judy Kertcher, Director, Communications, Information and Resources
Management Division
703-308-8730
Kertcher.iudv(5)epa.qov
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RCRA E-Permitting
NEJAC Meeting
December 11, 2002
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Electronic Permitting:
What is It?
E-Permitting is a system that can
include permitting activities from
providing guidance and preparing
applications to issuing permits and
compliance reporting in a paperless
electronic manner.
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Electronic Permitting:
Why Do It?
Reduce Paperwork,
Improve permitting efficiency,
Better permit status tracking,
Improve compliance reporting,
Better data accuracy,
More efficient collection of permit fees,
More transparent permitting process.
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Electronic Permitting:
Findings
Electronic permitting is feasible but can
require significant resource investment.
Better to start with small, concrete,
modules and develop system piece by
piece.
Uniform processes lend themselves better
to electronic permitting.
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Electronic Permitting:
Future Direction
Based on feedback from RCRA National Meeting (1/02),
State meeting (7/02), and State/Industry/Environmental
meeting (10/30), we are:
Assessing State RCRA e-permit needs and interest.
Developing model permits and applications for units
that wi I be subject to RCRA's proposed standardized
permit regulations.
Studying RCRA data needs for making decisions and
the relationship to permit application requirements.
Looking into electronic forms for key components of
the permit process.
5
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Electronic Permitting:
Future Direction (Cont.)
We have visited New York, Mississippi,
and Texas in order to:
Gather information on their e-permitting
systems: design, structure, capability,
implementation, future needs.
Determine potential interest in partnering to
assist in piloting a RCRA e-permitting module.
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Electronic Permitting:
Future Direction (Cont.)
Met with TEMPO software (a commercial
e-permitting software) users group and
discussed RCRA needs.
Short term needs include:
Electronic Hazardous Waste Identification
form - already under development by EPA.
Electronic Part A form.
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Electronic Permitting:
Q's and A's
1. Does EPA expect to build a
national e-permitting system?
No, EPA's role will probably be limited to
assisting States in integrating RCRA
e-permitting into their electronic systems.
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Electronic Permitting;
Q's and A's
0 2. What is the relationship between
RCRA e-permitting and central data
exchange (CDX)?
[] We will work within the existing Agency
CDX framework. For RCRA that means
RCRA info. We don't expect to have
significant new CDX requirements for
RCRA e-permitting.
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Electronic Permitting:
Q's and A's
3. What level of stakeholder
involvement do we expect?
We need stakeholders to help shape the
direction of RCRA e-permitting. We will
continue to work with states, EPA regions,
environmental groups, industry, and
community groups.
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Electronic Permitting:
Q's and A's
4. Who do I contact for further
information?
Vernon Myers is leading this effort. (703-308-
8660) or mvers.vemon@epa.QQv.
Information on RCRA e-permitting can be found
on our web page:
http://www.epa.gov/epaoswer/hazwaste/permit
/epmt/epermit.htm
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