[Federal Register Volume 59, Number 118 (Tuesday, June 21, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-14949]
[[Page Unknown]]
[Federal Register: June 21, 1994]
_______________________________________________________________________
Part IV
Environmental Protection Agency
_______________________________________________________________________
Environmental Leadership Program: Request for Pilot Project Proposals;
Notice
ENVIRONMENTAL PROTECTION AGENCY
[FRL-5001-5]
Environmental Leadership Program: Request for Pilot Project
Proposals
AGENCY: Environmental Protection Agency (EPA).
ACTION: Request for Environmental Leadership Program pilot project
proposals.
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SUMMARY: This notice requests proposals for Environmental Leadership
Program pilot projects, and outlines the criteria facilities must meet
to be considered for participation. These pilot projects will explore
ways that EPA and States might encourage facilities to develop
innovative auditing and compliance programs and to reduce the risk of
non-compliance through pollution prevention practices. In addition, the
pilots will help EPA design a full-scale leadership program, and
determine if implementing such a program can help improve environmental
compliance. Any future full-scale leadership program based in the
Office of Compliance will be consistent with the goals of the
Administrator's Common Sense Initiative, which focuses on comprehensive
environmental protection strategies for entire industry sectors.
These voluntary pilot projects will benefit the public by
encouraging industry to take greater responsibility for self-
monitoring, which will lead to improved compliance, pollution
prevention, and environmental protection. The projects will benefit
industry by providing an opportunity to receive recognition for
outstanding environmental management practices and to address barriers
to self-monitoring and compliance efforts. Finally, the projects will
benefit government by strengthening Federal-State partnerships and
allowing EPA to gather empirical data on environmental compliance
methodology and measures.
EPA plans to select three to five (3-5) pilot projects. The pilots
will be selected from the pool of proposals received based on how
completely they address the seven criteria outlined in this notice, and
their potential to demonstrate possible components of a full-scale
leadership program. Depending on the level of interest in the projects,
the quality of the proposals received, and available resources, the
Agency may be willing to expand the pilot project phase to include
additional projects.
DATES: Proposals for pilot projects will be accepted until August 22,
1994. Proposals will be reviewed on a rolling basis as they are
received, with selection of the finalists in the fall of 1994.
ADDRESSES: Applicants should mail three (3) copies of their proposal
and all required documentation to: U.S. Environmental Protection Agency
(1102), Attn: Ira R. Feldman, ELP Pilot Project Director, 401 M Street,
SW., Washington, DC 20460. Facilities may submit their proposals
directly to EPA after discussions with their State environmental
agency, or to their State agency for forwarding to EPA.
FOR FURTHER INFORMATION CONTACT: Ira R. Feldman, ELP Pilot Project
Director, U.S. Environmental Protection Agency (1102), Office of
Compliance, 401 M Street SW., Washington, DC 20460, phone (202) 260-
7675, fax (202) 260-8511 or Mike Schiavo, U.S. Environmental Protection
Agency (1102), 401 M Street, SW., Washington, DC 20460, phone (202)
260-2824, fax (202) 260-8511.
I. Introduction
A. Original ELP Proposal
On January 15, 1993, EPA published a Federal Register notice (58 FR
4802) requesting comment on the possible creation of a national
voluntary program to encourage and publicly recognize environmental
leadership and to promote pollution prevention in the manufacturing
sector. The Agency requested responses to 56 specific questions about
the structure of such a program, possible goals and measures, the need
for incentives, the role of compliance screening, and other related
issues. Two basic components were proposed for the ``Environmental
Leadership Program'' (ELP)--a ``Corporate Statement of Environmental
Principles'' and a ``Model Facility'' Program.
The Agency received a wide variety of comments on the original
proposal from industry, States, environmental groups, and other non-
governmental organizations. In addition, the Agency held a public
meeting on May 6, 1993 in Washington, DC and received additional
comment from 30 groups. While no true consensus emerged on the best
structure or goals for the program, the comments clearly indicated an
interest in a voluntary program to recognize environmental excellence.
(A summary of public comments is available from EPA upon request.)
After extensive review and analysis of the comments by the Office of
Enforcement, the Office of Pollution Prevention and Toxics, and the
Administrator's Pollution Prevention Policy Staff, the Agency refined
the goals and the immediate focus of the project.
B. Model Facility Pilot Projects
In the January 28, 1994 Federal Register (59 FR 4066), the
Administrator announced EPA's intent to further develop the ELP
concept, initially through a small number (3-5) of voluntary, facility-
based pilot projects. The new Office of Compliance (OC), within the
reorganized Office of Enforcement and Compliance Assurance (OECA), will
coordinate the ``model facility'' pilot project effort with significant
Regional and State partner involvement. At the same time, EPA opted not
to further develop its own ``Corporate Statement of Environmental
Principles,'' but rather to work cooperatively with organizations that
have developed their own corporate or industry-specific codes. (The
Office of Pollution Prevention and Toxics will continue to lead any
future Agency involvement in this area.)
This pilot project effort is distinguished from a possible future,
full-scale Environmental Leadership Program. A major goal of the pilot
projects is to further explore possible components of a full-scale
program. Options were raised during public comment last year on various
program elements, including the review and selection process,
recognition mechanisms, and other possible incentives for facilities.
The pilot projects will explore these options, and will have a definite
life span of about 12-18 months. At the end of this time, EPA will
determine if a full-scale program is feasible, and if implementing such
a program can help improve environmental compliance.
The pilot projects, therefore, represent the experimental first
step in the evolution of the ELP. The pilot phase is also an excellent
opportunity to strengthen partnerships between government, industry
groups, and regulated entities as a prelude to more extensive emphasis
by the Agency on voluntary compliance initiatives. The pilot projects,
and any future leadership program, will be a vehicle for facilities to
continue building positive, proactive relationships with EPA and State
and local agencies.
C. Benefits to Pilot Project Participants
EPA foresees a number of potential benefits to facilities that are
selected for pilot projects. The Agency will publicly recognize these
facilities that demonstrate outstanding environmental management
practices, and also provide them with an opportunity to help shape the
possible future, full-scale leadership program. EPA will use the pilot
projects to evaluate recognition mechanisms and other incentives that
could be offered in a full-scale program. While mechanisms for
recognition will be determined in discussions with each facility, they
may include press releases, letters to community groups, local and
State agencies, and/or site visits by EPA officials. It is important to
note that any future program would offer recognition and other
incentives on a continuing basis (similar to the OSHA Voluntary
Protection Program), not as a one-time award.
The pilots represent an opportunity for facilities to inform and
directly participate in EPA's effort to reassess its environmental
auditing policy. In addition, it is anticipated that the projects
selected will generate empirical data useful for evaluating EPA's
compliance policies and spur the development of methodologies for
evaluating compliance behavior. Finally, EPA is interested in
discussing possible policy modifications and other incentives that
could help facilities overcome barriers to self-monitoring and
compliance efforts. Facilities should address this issue in their
proposals for pilot projects. Proposals should focus on incentives that
can be offered by EPA's Office of Enforcement and Compliance Assurance
under existing law using administrative authority or policies that lie
clearly within OECA's jurisdiction. Proposals to change statutory
deadlines, amend environmental standards, or that require actions by
other agencies are not appropriate for this program.
The remainder of this notice will outline the criteria facilities
must address in their proposal to be considered for a pilot project,
briefly outline the role of States and EPA Regions, and discuss the
proposal review and selection process.
II. Criteria for Facility Pilot Projects
The following criteria for pilot projects were developed in
response to extensive public comment on the original ELP proposal. In
this phase of the ELP, facilities of all types, including small
businesses, municipalities, and Federal facilities,\1\ are encouraged
to submit proposals for pilot projects that address these criteria.
Each criterion must be addressed in some way in the proposal; however,
facilities may choose to emphasize individual criteria that are
appropriate to their unique situation in setting specific goals for a
pilot project.
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\1\The Federal Facilities Enforcement Office (FFEO) is
developing a ``Federal Government Environmental Challenge Program,''
as required under Section 4-405 of Executive Order 12856. This
section of the Executive Order requires EPA to develop a Code of
Environmental Management Principles for Federal agencies, a program
to recognize individual Federal facilities as ``Model
Installations,'' and an award system for individual leadership in
pollution prevention. For more information on the Model Installation
Program, please contact Louis Paley at (703) 308-8723, or (202) 260-
8790.
Since the Federal facility Model Installation program is still
in its early stages, Federal facilities may submit proposals for ELP
pilot projects. The Office of Compliance and FFEO will work together
to use these proposals, and any subsequent Federal facility pilot
projects, to help develop the Model Installation program and to
ensure that it is consistent with any future, full-scale ELP.
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A. Compliance History
EPA believes that the greatest potential for the pilot projects is
to demonstrate ``state-of-the-art'' environmental management systems
that establish and maintain compliance with environmental statutes and
regulations. These systems, when combined with an emphasis on pollution
prevention, can lead to improved efficiencies that help facilities
exceed minimum compliance standards. To be selected to participate in a
pilot project, facilities must demonstrate a commitment to compliance.
Therefore, facility proposals must describe their local, State, and
Federal compliance history, explain how they have resolved compliance
issues in the past, what they are doing to address any outstanding
compliance issues, and how they are trying to position themselves to go
beyond compliance.
B. Environmental Management and Auditing Programs
Industry leaders have long recognized the value of self-auditing
for environmental compliance and the need to have processes and
personnel in place to achieve compliance goals. Facilities applying to
the ELP must describe their existing or proposed environmental
management and auditing programs, their systems to resolve issues
raised by these programs in a timely manner, and their systems to
evaluate and adjust these programs on a regular basis. One of the major
goals of implementing these management systems and auditing programs
should be to move the facility into compliance and position it to go
beyond compliance.
Guidance on environmental auditing and state-of-the-art
environmental management practices is available from many sources. As a
starting point, EPA refers potential pilot participants to the
following sources:
The EPA Environmental Auditing Policy Statement (Federal
Register, July 9, 1986) which includes a discussion of elements of an
effective auditing program;
The ``Draft Corporate Sentencing Guidelines for
Environmental Violations,'' (BNA Environment Reporter, 11/26/93), which
includes a discussion of ``Minimum Factors for Demonstrating a
Commitment to Environmental Compliance'' in Part D.
Voluntary standards on environmental management systems and
environmental auditing may also provide guidance to facilities
interested in preparing pilot project proposals. EPA is participating
in work groups organized by the International Organization for
Standards (ISO) and the National Sanitation Foundation (NSF
International). The American Society for Testing and Materials (ASTM)
is coordinating U.S. participation in ISO Technical Committee 207 (TC-
207) on environmental management systems (EMS). Contacts for these
organizations are listed at the end of this notice.
Similarly, EPA is aware that initiatives such as the Global
Environmental Management Initiative (GEMI), the Responsible Care
Program, and the CERES Principles have been developed in the private
sector and by non-governmental groups. These and other private sector
efforts may be useful for facilities interested in submitting pilot
proposals, and facilities are encouraged to develop proposals with
industry and trade association involvement and support.
C. Disclosure of Audit Results
EPA is currently reevaluating its environmental auditing policy,
and will take an empirical approach so that any decision to either
reinforce or change existing policy is informed by fact. The ELP pilot
projects may generate useful data on auditing methodology and measures,
and may serve as a vehicle for experimenting with policy-driven
incentives.
EPA is particularly interested in examining how disclosure of audit
results could improve the public's confidence in and acceptance of
industry's self-monitoring efforts, and how disclosure could help
facilitate the flow of information to the personnel responsible for
implementing audit recommendations. Facilities applying to the ELP must
demonstrate a willingness to disclose in some manner the results of
their audits. EPA recognizes the controversial nature of this issue,
and for that reason wants to explore the potential benefits and
perceived risks of disclosure in the context of the pilot projects.
As part of their proposals, therefore, facilities should suggest
the type and extent of information they would be willing to disclose,
the mechanisms they would use to disclose the information, the parties
to whom they would disclose the information, and finally, any
conditions they would seek from regulators in order to make the
disclosure. Proposed incentives should be limited to items that can be
offered by EPA's Office of Enforcement and Compliance Assurance under
existing law using administrative authority or policies that lie
clearly within OECA's jurisdiction. Proposals to change statutory
deadlines, amend environmental standards, or that require actions by
other agencies are not appropriate for this program.
D. Pollution Prevention Activities
EPA's new Office of Compliance is organized principally around
economic sectors, in order to support integrated approaches to
compliance that promote pollution prevention as a means of meeting
environmental requirements and realizing environmental improvements.
Facilities must describe their existing or proposed comprehensive,
multimedia pollution prevention program that is integrated into their
overall operations. In describing this program, facilities should
include descriptions of their pollution prevention planning process,
their State pollution prevention plan (if required, see ``Other
Required Documentation'' below), their systems for implementing
pollution prevention projects, how resources are allocated to pollution
prevention, and how they measure pollution prevention progress. At a
minimum, facilities should include the two-year projection of waste
generation required by the Pollution Prevention Act and their RCRA
waste minimization certification (see ``Other Required Documentation''
below).
E. Setting an Example
Facilities must show that they are currently using, or would be
willing to use, their auditing, pollution prevention, and/or other
environmental management programs as models or benchmarks for other
facilities within their company or industry, or for their customers,
suppliers, and contractors. EPA recognizes that there may be many
mechanisms for doing this, and that confidentiality issues may limit
the amount of information and technology facilities are able to share.
Given these conditions, facilities must propose how they would help
others learn from their experiences and the type and extent of
information they would be willing to share.
F. Performance Measures
Good environmental management systems set performance objectives,
and measure and report on progress toward those goals. While EPA
recognizes that there are many possible measures of environmental
performance, at the pilot project stage the Office of Compliance is
primarily interested in developing methodology that can demonstrate and
measure compliance success and pollution prevention results, as
complements to the traditional enforcement measures of actions and
penalties. Therefore, facilities must propose quantitative and/or
qualitative measures that will track the compliance improvements and
pollution prevention results that would accrue from their participation
in a pilot project. Facilities must also include brief descriptions of
additional performance objectives that they are striving to meet, and
of the systems they use to track and monitor progress toward these
goals. Any future, full-scale leadership program will attempt to
incorporate overall measures of environmental management performance,
in addition to measures of compliance and pollution prevention.
G. Employee and Community Involvement
Sensitivity and responsiveness to employee and community concerns
is a key component of environmental leadership. In proposals for the
ELP, facilities must demonstrate that their employees and their
communities are involved in developing and implementing their
environmental management programs, and should suggest mechanisms (for
example, employee interviews, interviews with local Emergency Planning
Commission (LEPCs), etc.) which can be used to verify this involvement.
III. Other Required Documentation
Facilities should include in their proposal the information they
deem necessary to address the criteria outlined above, and the
following required information:
Contact person, mailing address, telephone number, and fax
number.
Company and/or facility environmental policy statement.
State pollution prevention plan, if required under State
law, in summary form.
RCRA waste minimization certification, in summary form.
Toxic Release Inventory (TRI) and Pollution Prevention Act
(PPA) data, all available years, in summary form.
A brief summary of participation in other EPA or State
voluntary programs.
While not required to do so, facilities may attach
additional summary information related to the criteria outlined above
that may help EPA evaluate their proposal.
IV. Suggested Proposal Format
In order to expedite the proposal review and selection process, EPA
suggests that facilities use the following format to organize their
proposals:
Section 1--Table of Contents, 1 page.
Section 2--Executive Summary, 1-2 pages.
Section 3--Main Narrative, organized by the seven criteria and
containing a clear statement of pilot project goals, 25-30 pages
maximum.
Section 4--Exhibits and Attachments, 25-30 pages.
Section 5--Bibliography of Supporting Material, including a list of
local, State, and Federal permits, and a list of applicable Federal
technology-based standards, 3-5 pages.
V. Role of the States
States have been invited to work in partnership with EPA in the
pilot project phase; the pilots will be more likely to succeed if EPA
and States work in concert. EPA recognizes that States' level of
involvement may vary according to available resources. The Agency
strongly encourages candidate facilities to contact their State
environmental agency as soon as possible to express their intention to
prepare a pilot project proposal, and to begin discussions about the
State's role, including opportunities to build on existing partnerships
and programs. Strong proposals will include documentation showing that
the proposal has been reviewed, sponsored, or endorsed by the
appropriate State agency.
Recognizing the valuable role of States as laboratories for new
approaches to environmental protection, EPA is eager to have
significant State participation in the pilot effort. A number of States
have already expressed interest in working with EPA to further develop
the ELP concept. As of the date of this notice, the following States
have approached EPA and offered to work as partners in the pilot
project effort:
Alaska
Arizona
Massachusetts
New York
North Carolina
Washington
Contact people for these States are listed below.
EPA has invited all States to participate in the ELP, and is
actively working to build additional partnerships. Facilities in States
not listed here are encouraged to contact their State environmental
agency as soon as possible to express their intention to prepare a
pilot project proposal, and to begin discussions about the State's
role, including opportunities to build on existing partnerships and
programs. EPA recognizes that States may not be able to, or may choose
not to, become involved in the pilot project phase. The Agency will
keep all States informed of the status of the pilot projects on a
regular basis, and, during the next phase of the projects, will convene
a workshop to discuss the pilot experience, ideas for launching a
possible full-scale leadership program, and other ideas for further
expanding the leadership/excellence concept.
VI. Role of EPA Regions
EPA Regions have also been invited by the Office of Compliance to
participate in the pilot project effort. In this phase of the ELP,
Regional involvement may vary according to available resources. At a
minimum, Regions will play a role in the screening and review of
proposals. Through the pilot projects, EPA hopes to more accurately
gauge the level of resources necessary for Regional participation in
any future full-scale program.
Each Region's ELP contact is listed below. Interested facilities
should contact their Region as soon as possible to express their
intention to prepare a pilot project proposal, and to begin discussions
about the Region's role, including opportunities to build on existing
partnerships and programs. More general questions about the ELP pilot
project phase should be directed to the Headquarters contacts listed at
the beginning of this notice.
VII. Proposal Review and Selection Process
Facilities may submit their proposals directly to EPA after
discussions with their State environmental agency, or to their State
agency for forwarding to EPA. The ELP pilot project team will be using
an expedited process--in partnership with EPA Regional Offices, State
environmental agencies, and other OECA offices--to review proposals and
to select the pilot participants. Pilot projects will be selected from
the pool of proposals received based on how completely they address the
seven criteria outlined above, and their potential to demonstrate
possible components of a full-scale leadership program.
Proposals for the initial group of pilots will be accepted for 60
days from the publication of this notice, and reviewed on a rolling
basis. Final selections will be announced in the Fall of 1994. The
pilot projects will have a definite life-span, most likely 12-18
months. At the end of this time, EPA will evaluate their success and
determine if a full-scale leadership program is feasible, and if such a
program can help improve environmental compliance.
Dated: June 14, 1994.
Steven A. Herman,
Assistant Administrator, Office of Enforcement and Compliance
Assurance.
EPA Region Contacts for ELP Pilot Project Proposals
Region 1
Joel Blumstein, Office of Regional Counsel, Phone (617) 565-3693.
Region 2
Gary Nurkin, Office of the Deputy Regional Counsel, Phone (212) 264-
5341.
Region 3
Bill Reilly, Office of Program Integration, Phone (215) 597-9302.
Region 4
Shelia Hollimon, Enforcement Planning and Analysis Staff, Phone (404)
347-7109.
Region 5
To be determined.
Region 6
To be determined.
Region 7
To be determined.
Region 8
Mike Gaydosh, Office of the Regional Administrator, Phone (303) 294-
7005.
Region 9
Fred Leif, Office of the Regional Administrator, Phone (415) 744-1017.
Region 10
Barbara Lither, Office of the Regional Administrator, Phone (206) 553-
1191.
State Contacts for ELP Pilot Project Proposals
(As of the date of this notice.)
Alaska
David Wigglesworth, Pollution Prevention Office, Alaska Department
of Environmental Conservation, 3601 C Street, Suite 1334, Anchorage, AK
99503, Phone (907) 273-4303; Fax (907) 562-4026.
Arizona
Beverly Westgaard, Arizona Department of Environmental Quality,
3033 N Central Ave., Phoenix, AZ 85012, Phone (602) 207-4249; Fax (602)
207-4346.
Massachusetts
Patricia Deese Stanton, Assistant Commissioner, Massachusetts
Department of Environmental Protection, One Winter Street, Boston, MA
02108, Phone (617) 292-5765; Fax (617) 292-5500.
New York
Frank Bifera, Division of Environmental Enforcement, New York
Department of Environmental Conservation, 50 Wolf Road, Albany, NY
12233, Phone (518) 457-2286; Fax (518) 485-8478.
North Carolina
Linda Bray Rimer, Assistant Secretary for Environmental Protection,
North Carolina Department of Environment, Health, & Natural Resources,
3825 Barnett Drive, P.O. Box 27687, Raleigh, NC 27611-7687, Phone (919)
715-4140; Fax (919) 715-3060.
Washington
John Williams, Agency Enforcement Officer, Washington Department of
Ecology, P.O. Box 47703, Olympia, WA 98504-7703, Phone (206) 407-6968;
Fax (206) 407-6902.
Other Contacts
National and International Standard Setting Efforts
Mary McKiel, Director, EPA Voluntary Standards Network, Office of
Pollution Prevention and Toxics (7401), U.S. EPA, 401 M Street, SW.,
Washington, DC 20460.
International Organization for Standards (ISO), U.S. SubTAG for
ISO-TC-207: Environmental Auditing. Write to: Mr. Cornelius C. (Bud)
Smith, Principal, ENVIRON Corporation, 210 Carnegie Center, Princeton,
NJ 08540.
International Organization for Standards (ISO), U.S. SubTAG for
ISO-TC-207: Environmental Management Systems. Write to: Mr. Joel Charm,
Director: Health, Safety and Environmental, Allied Signal, Inc., P.O.
Box 1013, Morristown, NJ 07962.
National Sanitation Foundation (NSF). Write to: Mr. Gordon Bellen,
Vice President, NSF International, 3475 Plymouth Road, P.O. Box 130140,
Ann Arbor, MI 48113-0140.
American Society for Testing and Materials (ASTM). Write to: Rose
Tomasello, 1916 Race Street, Philadelphia, PA 19103.
Federal Government Environmental Challenge Program: Model Installation
Program
Louis Paley, Office of Federal Facilities Enforcement (2261), U.S.
EPA, 401 M Street SW., Washington, DC 20460. Phone (703) 308-8723, or
(202) 260-8790.
EPA Common Sense Initiative
Steve Harper, Office of Air and Radiation (6101), U.S. EPA, 401 M
Street SW., Washington, DC 20460. Phone (202) 260-8953.
Vivian Daub, Office of Water (4101), U.S. EPA, 401 M Street SW.,
Washington, DC 20460. Phone (202) 260-6790.
[FR Doc. 94-14949 Filed 6-20-94; 8:45 am]
BILLING CODE 6560-50-P
