Implementation

This program, while recognizing and promoting improved environmental performance, is built on a foundation of sustained compliance. There are several components of this program that help to assure continued compliance, such as an EMS that meets specified criteria (including compliance with legal requirements), compliance self-audits, and an annual certification that the facility is meeting the program entry criteria and is continuing to maintain compliance. In recognition of these and other program elements, and of good faith participation in Performance Track, facilities will not be subject to greater enforcement scrutiny solely as a result of their membership in Performance Track.

Compliance issues may arise from time to time at a Performance Track facility. In fact, EPA expects that a vigorous performance- and compliance-focused EMS will identify for prompt correction any instances of actual or potential non-compliance. In general, facilities are rewarded for their self-identification, correction, and prompt disclosure of violations through penalty mitigation under EPA’s Audit Policy. Performance Track members will likewise be able to avail themselves of this compliance incentive under the conditions specified in the Policy. In addition, EPA recognizes that violations may be discovered during the course of an on-site Performance Track program visit. EPA similarly will allow the application of the Audit Policy to violations discovered in this manner, provided that the facility could not reasonably be expected to have known about or identified the violation prior to the on-site visit. Finally, should a Performance Track facility become subject to an enforcement action, EPA will consider, as a discretionary factor in the assessment of penalties, the facility’s good faith participation in the program as an indication of the facility’s good faith efforts to comply.

Performance Track members must submit an online Annual Progress Report (APR) to EPA and the public. The APR documents a facility’s progress toward meeting performance goals, ensures that a facility maintains its qualifications under the program, and provides information on the effectiveness of the program.

More specifically, the APR documents the following types of information:

• EMS Performance: Summarizes the facility’s EMS performance (based on objectives and targets), including a summary of audits (EMS and compliance) and corrective actions;
• Goal Performance: Reports on the details and progress of a facility’s performance goals;
• Outreach Performance: Reports on details of the facility’s environmental public out-reach activities; and
• Self Certification: Self-certifies that a facility continues to meet the Performance Track criteria.

There may be cases when a facility encounters significant performance problems that may warrant its removal from Performance Track. At EPA's discretion, a member may be removed from the program for such reasons as falsifying information in the application or Annual Performance Report, failing to file an Annual Performance Report, misrepresenting environmental performance in advertising or marketing claims, or for compliance problems that would be seen as inconsistent with Performance Track entry criteria.

EPA expects that a member facility will continue to meet Performance Track criteria, such as maintaining its EMS and conducting appropriate public outreach, while it is in the program. Failure to meet the EMS and public outreach commitments may constitute grounds for removal. EPA also expects that a facility will strive to meet the performance goals stated in its application. However, facilities are encouraged to establish ambitious goals, which they may not always be able to meet. Inability to meet the facility’s performance goals will not, by itself, remove a facility from the program. However, an inability to make any progress, or a decline in overall facility performance, may result in removal from the program.

Should EPA decide that it may be necessary to remove a facility from Performance Track, EPA will provide the facility with notice of its intention. The facility will be allowed 30 days to respond by taking corrective measures. If corrective measures resolve the issues, EPA will withdraw its notice of intention. A facility may also withdraw from the program at any time by notifying EPA of its intent in writing. Once separated from Performance Track, whether voluntarily or at EPA’s discretion, a facility relinquishes the continued use of all incentives associated with membership in the program.

The Performance Track membership term is 3 years. At the end of the membership term, a facility must submit a renewal application. To qualify for membership renewal, a facility must meet all of the criteria required for entrance into the program. In addition, the facility should be able to demonstrate good-faith improvement toward meeting its environmental performance goals. 

In general, EPA expects that facilities make progress toward at least 3 of the 4 goals, recognizing that there may be extenuating circumstances that will be dealt with on a case by case basis. If a facility commits to a challenge goal, the facility should show progress on the challenge goal and one other goal, since challenge goals count as two goals. Small facilities will be evaluated on a case by case basis, but should show progress on at least 1 goal. In addition, in order for a facility to renew its membership, the facility must have been a cooperative member of the program and met all program obligations.