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Frequently Asked Questions
- What is the National Environmental Performance Track program? Answer
- Since inception, how has Performance Track helped improve the nation’s environment? Answer
- How rigorous is the Performance Track application and application review process? Answer
- Since its inception in 2000, how many facilities have been removed from the Performance Track program? Answer
- How does EPA ensure that members are meeting the Performance Track criteria? Answer
- How does EPA define “sustained commitment to compliance?” Answer
- How does EPA define “continuous environmental improvement?” Answer
- How does Performance Track ensure that members are complying with environmental laws and regulations? Answer
- Does Performance Track reduce regulatory requirements? Answer
- What is “low-inspection priority?” Answer
- Are Performance Track members subject to the same enforcement rules and penalties as non-members? Answer
- Has there ever been an in-depth, independent review of the Performance Track program? Answer
- What is the Performance Track Participants’ Association, and what is their role in the program? Answer
- Why should my facility apply to Performance Track? Answer
- What are the benefits of participation? Answer
- Who can participate in Performance Track? Answer
- How can my facility apply? Answer
- Can I view the entire application before registering at P-Track Online? Answer
- When is the Performance Track application deadline? Answer
- Can I talk to a current Performance Track member prior to applying? Answer
- How can I get more information on implementing an EMS? Answer
- How can I tell if my facility's EMS meets the Performance Track requirements? Answer
- What level of detail is required regarding EMS assessments and compliance audits in Annual Performance Reports? Answer
- Does Performance Track focus on just one specific pollutant or environmental issue? Answer
- What types of environmental performance improvements are eligible for credit under Performance Track? Answer
- How can I choose measures for reporting past environmental performance? Answer
- Can a corporate officer or some other company official sign the Application and Participation Statement even if they are not the facility or plant manager? Answer
- How can I apply for multiple facilities with one application? Answer
- What is the “Corporate Leaders” designation? Answer
- May a single division of an organization at a site with multiple divisions apply to the program? Conversely, may any organization that has a number of satellite operations, such as distribution centers, apply as one facility? Answer
- What does it cost to participate in the program? Answer
- My facility already participates in another partnership program or a similar state program. Should I still join Performance Track? Answer
- I have a small facility. Are there any special considerations for small facilities that want to participate in Performance Track? Answer
- What are my obligations to Performance Track once I become a member? Answer
- Whom can I contact for more information on the National Environmental Performance Track Program? Answer
1. What is the National
Environmental Performance Track program?
Launched in June of 2000, the National
Environmental Performance Track (“Performance
Track”) is a voluntary partnership program that
recognizes and rewards private and public facilities
that demonstrate strong environmental performance
beyond current requirements. Performance Track is
designed to augment the existing regulatory system by
creating incentives for facilities to achieve
environmental results beyond those required by law. To
qualify, applicants must have implemented an
independently-assessed environmental management system,
have a record of sustained compliance with
environmental laws and regulations, commit to achieving
measurable environmental results that go beyond
compliance, and provide information to the local
community on their environmental activities. Members
are subject to the same legal requirements as other
regulated facilities. In some cases, EPA and states
have reduced routine reporting or given some
flexibility to program members in how they meet
regulatory requirements. This approach is recognized by
more than 20 states that have adopted similar
performance-based leadership programs.
2. Since inception, how has Performance Track
helped improve the nation’s environment?
Performance Track was designed to respond to
widespread concern about the limits of the conventional
regulatory system and its ability to address emerging
environmental problems. Compliance with legal
requirements has allowed EPA to make great progress in
improving the nation’s environment. It still is
the underpinning of the nation’s efforts to
protect the environment. However, there is substantial
evidence that a more positive approach based on
recognition and incentives may encourage even greater
progress. Performance Track builds upon the existing
regulatory system to achieve continuous improvement in
a range of environmental indicators.
Environmental results achieved by Performance Track members are especially significant in areas for which EPA lacks regulatory authority (e.g., water use, energy use, waste reduction, habitat preservation, and product design). Even in regulated areas, members have documented reductions in air and water discharges that extend well beyond their legal requirements. Although Performance Track does not claim members are achieving these results solely because of Performance Track, there is evidence that the program reinforces these efforts and encourages facilities to set goals for improvements that they otherwise would not make. The program also encourages facilities to adopt effective environmental management systems and provide information on their environmental performance to local communities.
Since the program’s inception, members reduced water use by 3.7 billion gallons, reduced greenhouse gas emissions by nearly 310,000 metric tons of carbon equivalent, reduced their generation of non-hazardous waste by 1.21 million tons, and set aside nearly 17,000 acres for land conservation. Complete results are provided in the Results section of the Performance Track site.
3. How rigorous is the Performance Track
application and application review process?
To qualify, applicants must meet four criteria.
They must have implemented an independently-assessed
environmental management system, have a record of
sustained compliance with environmental laws and
regulations, commit to achieving measurable
environmental results that go beyond compliance, and
provide information to the local community on their
environmental activities. Performance Track checks the
community references, which are required on the
application form. For more specific information on
criteria, see:
www.epa.gov/performancetrack/program/standard.htm.
Performance Track’s acceptance criteria do not require a perfect compliance record. Large manufacturing facilities may have to comply with many regulatory checkpoints at various levels of government. Even the best facilities occasionally encounter compliance issues. Minor, occasional non-compliance is acceptable as long as the applicant’s overall compliance record is strong, any issues that occur are addressed quickly and responsibly, and EPA and state enforcement officials agree the applicant is a strong environmental performer.
Participation in the Performance Track is not appropriate if the compliance screen shows any of the following, under federal or state law:
Criminal Activity
- Corporate criminal conviction or plea for environmentally-related violations of criminal laws involving the corporation or a corporate officer within the past 5 years;
- Criminal conviction or plea of employee at the same facility for environmentally-related violations of criminal laws within the past 5 years; or an
- Ongoing criminal investigation/prosecution of corporation, corporate officer, or employee at the same facility for violations of environmental law.
Civil Activity
- Three or more significant violations at the facility in the past 3 years;
- Unresolved, unaddressed Significant Non-Compliance (SNC) or Significant Violations (SV) at the facility;
- Planned but not yet filed judicial or administrative action at the facility;
- Ongoing EPA- or state-initiated litigation at the facility; or a
- Situation where a facility is not in compliance with the schedule and terms of an order or decree.
In addition to the above criteria, EPA also considers whether there are significant problems or a pattern of noncompliance in an applicant's overall civil or criminal compliance history. For specifics on what types of non-compliance issues are allowable, see: www.epa.gov/performancetrack/program/sustain.htm
4. Since its inception in 2000,
how many facilities have been removed from the
Performance Track program?
Eighty-two Performance Track members have been asked to withdraw their membership or denied renewal because they did not maintain their qualifications for program membership.
5. How does EPA ensure that
members are meeting the Performance Track
criteria?
Facilities must submit Annual Performance
Reports each year, which are available to the general
public on this website (
https://yosemite.epa.gov/opei/ptrack.nsf//faMembers?readform).
Additionally, Performance Track conducts compliance reviews during every member’s three-year membership term and since the program’s inception has conducted site visits at a limited number of facilities each year. More on
APRs can be found at:
www.epa.gov/performancetrack/program/report.htm,
compliance screen information:
www.epa.gov/performancetrack/program/sustain.htm,
and site visit information:
www.epa.gov/performancetrack/program/visits.htm.
6. How does EPA define
“sustained commitment to
compliance?”
Performance Track members must have a record of
compliance with environmental laws and commit to
maintaining the level of compliance needed to qualify
for the program. When facilities apply for acceptance
to the program, they are subjected to a thorough
compliance screen. First, relevant EPA databases are
examined for information on the applicant. Then,
Performance Track’s regional coordinators consult
with enforcement staff in their offices and state
environmental agencies to verify the accuracy of the
information in the database and determine the current
compliance status of the applicant. Performance Track
also checks with the Department of Justice on actions
they may have taken or are considering. Only after
receiving a positive recommendation from the regional
and state enforcement officials does Performance Track
consider the applicant as having met this criterion for
acceptance into the program. The final step is to
consult with the Office of Enforcement and Compliance
Assurance (OECA) on whether or not the applicant has
met the screening criteria. OECA has concurred with
every decision EPA has made regarding the acceptance
and renewal of Performance Track members. Performance
Track recently began re-screening its members during each membership term to ensure that they are maintaining an acceptable
compliance record.
Performance Track relies on compliance screening criteria that were developed by OECA for all EPA voluntary programs – criteria that were strengthened by Performance Track. For more on these criteria, see: www.epa.gov/performancetrack/program/sustain.htm.
7. How does EPA define
“continuous environmental
improvement?”
The commitment to achieving measurable
environmental results that go beyond compliance is the
heart of Performance Track. Selecting from an EPA list,
members make three-year goals to improve their
performance under four environmental indicators (e.g.,
NOx reduction, solar power use, and habitat
restoration) and from at least two categories (e.g.,
air emissions, water discharges, land use, and energy
use). Small facilities with fewer than 50 employees
commit to two goals. The three-year goals set by
members must exceed current legal requirements. During
the three-year membership, facilities prepare Annual
Performance Reports that summarize progress in meeting
their goals. They also report on other activities,
including audits conducted, corrective actions taken,
and outreach to the local community. The reports are
available to the public at:
https://yosemite.epa.gov/opei/ptrack.nsf/faMembers?readform.
Additionally, the program publishes an annual progress
report, with an aggregate analysis of members’
performance (see:
www.epa.gov/performancetrack/pubs.htm).
8. How does Performance Track
ensure that members are complying with environmental
laws and regulations?
EPA screens all applicants, consistent with
OECA’s Compliance Screening for EPA Partnership
Programs. In evaluating an applicant’s compliance
record, EPA, along with its state partners, will
consult databases and enforcement information sources.
Performance Track recently began re-screening members
during each membership term to ensure that they are maintaining an
acceptable compliance record.
9. Does Performance Track reduce
regulatory requirements?
No -- members must obey all laws and meet all
legal requirements. Like any other regulated facility,
they are subject to enforcement action if they fail to
meet those requirements.
10. What is
“low-inspection priority?”
The policy of considering members to be a low
priority for routine inspection was developed to allow
EPA and states to shift inspection resources from
facilities with strong compliance records to facilities
that present a greater risk of non-compliance and those
which are rarely, if ever, inspected. EPA, however,
does inspect member facilities when required by statute
or regulations. States are encouraged to implement the
low-inspection priority policy, but they are free to
follow whatever inspection priorities they deem
appropriate. The overwhelming majority of all
inspections are conducted by states. Performance Track
facilities cover less than 1 percent of the potential
inspection universe.
11. Are Performance Track members subject to
the same enforcement rules and penalties as
non-members?
Yes, one of the principles behind
Performance Track is that proven good performers who
are not only complying with the law, but who are also
taking extra steps to improve the environment do not
require the same level of detailed oversight as
non-members. This principle has a sound basis and is
recognized by more than 20 states that have adopted
similar performance-based programs. This does not mean,
however, that Performance Track members get a
“free pass” or “breaks” on
their legal obligations. Performance Track members are
subject to all of the same enforcement rules and
penalties as non-members.
12. Has there ever been an
in-depth, independent review of the Performance Track
program?
An independent evaluation is currently being
conducted by the Regulatory Policy Program at Harvard
University’s Kennedy School of Government. The
Regulatory Policy Center is conducting research in four
areas. The first is to determine why some managers and
facilities participate in programs like Performance
Track and why some do not. The second is an analysis of
how the program design affects participation. The third
area of research is a survey of managers’
perceptions of the costs and benefits of participation
in Performance Track. This includes a survey of some
600 facilities that have decided to participate in the
program (including those who were not accepted or are
currently not members) and some 3,000 similar
facilities that have not applied to join. The fourth
area is investigating whether the program (1) does
successfully identify top environmental performers,
based on three indicators of facility level
environmental performance, and (2) whether facilities
that apply appear to have been induced to improve their
environmental performance in order to qualify for the
program.
In addition, EPA has modified the program in response to information it has gained on specific aspects of the program. For example, in 2004, EPA added a requirement that each facility’s environmental management system be independently assessed. [See: http://www.epa.gov/performancetrack/ind_assessment.htm.] EPA also has adopted more specific protocols for facility reporting and for linking the environmental management system more specifically to a facility’s goals for environmental improvement.
13. What is the Performance
Track Participants’ Association, and what is
their role in the program?
A group of Performance Track members formed the
Performance Track Participants’ Association
(PTPA) in April of 2001. A 501(c)(6) nonprofit
organization, the PTPA was created by members to serve
organizations participating, or interested, in
Performance Track. In general, the PTPA provides a
forum for corporations, facilities, trade associations,
and public entities involved in Performance Track to
engage in a positive dialogue with EPA, identify and
share best practices, and provide opportunities for
networking. The PTPA has no role in the operations of
the Performance Track program. PTPA members, like all
Performance Track members, are welcome to provide ideas
for improving the program.
14. Why should my facility
apply to Performance Track?
Performance Track members receive a wide variety
of benefits that include low priority status for
routine inspections by EPA, public recognition,
networking opportunities, and regulatory and
administrative incentives.
15. What are the benefits of
participation?
Participation in the Performance Track Program
enables facilities to implement flexible and
potentially more efficient approaches to environmental
protection. Participating facilities will receive
several incentives in return for their environmental
goals. More specific information can be found at:
www.epa.gov/performancetrack/benefits/index.htm.
16. Who can participate in
Performance Track?
Public or private U.S. facilities of
any type, size, complexity level, or economic sector,
can participate in Performance Track. Multi-facility
corporations are encouraged to develop company-wide
policies supporting participation across their
facilities, such as corporate Environmental Management
System (EMS) policies. However, facilities applying
within a corporation must meet program requirements
individually.
17. How can my facility
apply?
You can complete, save, revise, review, and
submit an electronic application through Performance
Track Online at
https://yosemite.epa.gov/opei/PTrack.nsf.
After submitting the form, you should also fax a copy
of your completed and signed Application and
Participation Statement to the Performance Track
Information Center at (617) 354-0463. Ninety days after
the close of the recruitment period, you will receive
notification whether or not your application was
approved. Those not accepted will receive a brief
explanation for EPA's decision and are eligible to
reapply at any point, once they are able to demonstrate
that they meet the criteria for participation.
18. Can I view the entire
application before registering at P-Track
Online?
Yes. You can view the application form prior to
logging on to Performance Track Online at
http://www.epa.gov/performancetrack/apps/app.htm.
Please note that the application must be submitted via
Performance Track Online. If you need assistance,
contact the Performance Track Information Center at
1-888-339-7875.
19. When is the Performance
Track application deadline?
EPA accepts applications twice a year: April 1 -
May 31, and September 1 - October 31. Performance Track
offers links to programs that support potential members
in application completion at
http://www.epa.gov/performancetrack/ptrackassist.htm.
20. Can I talk to a current
Performance Track member prior to applying?
Yes. The Performance Track Mentoring Program
allows prospective members interested in learning about
and applying to Performance Track to speak with a
current member. The mentor can provide you with a
member’s perspective on the program as well as
guide you in setting performance goals and setting
appropriate performance measurements that can be easily
transferred to the Performance Track application. Visit
http://www.epa.gov/performancetrack/mentoring.htm
for additional information.
21. How can I get more
information on implementing an EMS?
There are many sources of guidance on
EMS on the Internet. Here are a few government
resources that may help you:
- EPA maintains a web page that contains information about its EMS policies.
- EPA's Design for the Environment program maintains a website on its Integrated Environmental Management Partnership initiative, with resources such as an EMS development manual and EMS evaluation tools.
- The EPA Office of Water's EMS/ISO 14001 site has links to reports that provide case studies, practical design and implementation guides, and other EMS-related information.
22. How can I tell if my
facility's EMS meets the Performance Track
requirements?
The Performance Track EMS elements are
based on a Plan-Do-Check-Act model. Facilities applying
to the program should have an EMS that has been in
place for at least one full cycle, which is usually one
full year. As of February 2004, Performance Track also
requires an independent assessment of an
applicant’s EMS. The assessment itself must be
performed according to a protocol, which is covered in
the application instructions. If you are certified to
ISO 14001 and have made a commitment to sharing
information with your community about your
environmental performance, you have met this
requirement for an independent assessment of your EMS.
Other non-ISO independent assessments may also meet
Performance Track EMS requirements. However,
Performance Track now requires that all facility EMSs
have some sort of third-party verification. Please note
that EPA recognizes that the scope and complexity of an
EMS varies depending on the nature, size, and
operations of a facility. For additional information,
visit
http://www.epa.gov/performancetrack/program/ems.htm.
23. What level of detail is
required regarding EMS assessments and compliance
audits in Annual Performance Reports?
The Annual Performance Reports must include
summaries of the EMS assessments and compliance audits
performed during the reporting period and any resulting
corrective actions or other improvements. The purpose
of these summaries is to provide assurances that the
facility is conducting EMS assessments and compliance
audits, that those assessments and audits are
effective, and that the facility is taking action to
correct any existing deficiencies.
The summaries for both the EMS assessments and compliance audits should include:
- A brief description of the timing and scope of assessments and audits conducted during the reporting period (including the date[s] that assessments and audits were conducted and which activities or areas at a facility were included).
- A discussion of who conducted the assessments and audits.
- A brief summary of the corrective actions taken and other improvements made as a result of the assessments and audits. There is no prescribed form for reporting this information. One possibility is to summarize the corrective actions and improvements by EMS or compliance category.
24. Does Performance Track focus on just one specific pollutant or environmental issue?
No. Performance Track works with members to improve performance among a a variety of environmental indicators and priority environmental issues such as climate change, clean water, and land preservation.
25. What types of
environmental performance improvements are eligible for
credit under Performance Track?
EPA recognizes many categories of potential
environmental improvements, including energy use, water
use, discharges to water, air emissions, waste
generation, conservation or preservation, and product
performance. Improvements within these categories are
further defined according to specific aspects, such as
elements of an organization's activities, products, or
services that can interact with or impact the
environment. A facility must have made previous
improvements in at least two aspects (one aspect for
small businesses) and commit to future improvements in
at least four aspects (two aspects for small
businesses). Performance improvements made as part of a
federal or state partnership program are also eligible
for Performance Track credit. Some EPA Regions offer
Performance Track “challenge goals”
that address a regional or national environmental
priority. When a Performance Track applicant makes a
challenge goal, that single challenge goal
may be counted as two performance goals. The
applicant then only has to make three future
goals rather than the standard four, so long as
one of the goals addresses the regional or
national priority. For more information, please read
the challenge goal
page.
26. How can I choose measures
for reporting past environmental performance?
The Environmental Performance Table (found in
Section C of the Performance Track Application)
includes a broad range of environmental measures and
impacts. Not all of these environmental impacts will be
relevant to your facility. In the Table, the general
types of environmental impacts as "categories" are
captured and broken down into more specific impacts
called "indicators."
27. Can a corporate officer or
some other company official sign the Application and
Participation Statement even if they are not the
facility or plant manager?
Maybe. The Application and Participation
Statement (Section E of the Application) requires a
signature by someone who is fully authorized to execute
this statement on behalf of the corporation or other
legal entity whose facility is applying to the program.
A corporate official could meet this test. The person
signing the certification should have enough knowledge
of the facility to truthfully and accurately attest to
its compliance status, EMS implementation, and overall
eligibility for the program. The person should be
authorized on behalf of the corporation to sign the
statement and should have a significant level of
management responsibility for the facility in question.
Once signed, please fax Section E of the application to
(617) 354-0463.
28. How can I apply for
multiple facilities with one application?
Performance Track is designed as a facility
based program. However, EPA recognizes that corporate
level goals and policies are major influences on
facility performance. To meet the needs of companies
wishing to sign up multiple facilities and to be
consistent with the program's facility approach, EPA
has developed specific guidelines to streamline a
multi-facility wide application. Applicants are allowed
to provide tables or spreadsheets to consolidate
facility-level information. Specific instructions can
be attained from Performance Track Information Center
at 1-888-339-7875.
29. What is the
“Corporate Leaders” designation?
In 2004, EPA created the Performance Track
Corporate Leader designation as a way to recognize
companies that are substantially committed to
Performance Track and exhibit policies and behavior at
a corporate level that are associated with
environmental excellence. For specifics, see:
www.epa.gov/performancetrack/corporateleaders/index.htm.
30. May a single division of
an organization at a site with multiple divisions apply
to the program? Conversely, may any organization that
has a number of satellite operations, such as
distribution centers, apply as one facility?
Maybe. A facility is often defined as including
all land, buildings, equipment, and structures located
on a single site or on continuous or adjacent sites and
owned or controlled by the same person or entity. EPA
recognizes that there may be circumstances where there
are multiple divisions co-located at one site that have
separate management systems or, on the other hand,
decentralized, non-adjacent operations that are part of
one overall management system. Specific guidelines can
be attained from Performance Track Information Center
at 1-888-339-7875.
31. What does it cost to
participate in the program?
There is neither an application nor membership
fee for Performance Track. EPA designed this program to
be an inclusive, voluntary, and flexible program. The
amount of time and money a facility invests in
improving its performance varies depending on the size
of the facility and the types of environmental
improvements sought. Many facilities find that
investments in pollution prevention and other
environmentally preferable practices produce real
savings and improve their standing with their community
and with regulatory agencies.
32. My facility already
participates in another partnership program or a
similar state program. Should I still join Performance
Track?
Yes. Performance Track builds on EPA's existing
voluntary programs and many state performance-based
programs. EPA encourages facilities to maintain
existing participation in other EPA partnership and
state programs while joining Performance Track.
An environmental improvement undertaken as part of another EPA voluntary program can count
as an environmental goal in Performance Track.
Performance Track has created various tools that will
help facilities participating in state programs
identify any additional steps needed to satisfy
Performance Track requirements.
33. I have a small facility.
Are there any special considerations for small
facilities that want to participate in Performance
Track?
Yes. Your facility qualifies as a small business
if the company as a whole is a small business as
defined by the Small Business Administration (SBA) (see
FR 30386, Vol. 65, No 94, May 15, 2000) and the
facility itself employs fewer than 50 full-time
equivalent employees. Small facilities are asked to
demonstrate past achievements in one environ-mental
aspect rather than the two required by other
facilities, and two future goals rather than the
four required by other facilities.
34. What are my obligations to
Performance Track once I become a member?
Members are expected to submit an annual
performance report, which demonstrates compliance
certification and progress on environmental
goals. Other Performance Track obligations
include good faith efforts towards continuous
improvement, maintenance of your EMS, and dedication to
community outreach.
35. Whom can
I contact for more
information on the National Environmental Performance
Track Program?
For further information on all aspects of the program, call the Performance Track Information Center toll-free at 1-888-339-PTRK (1-888-339-7875), or visit our contact page.