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State Innovation Grants

EPA 2005-2006 State Innovation Grants Competition Pre-Proposals

I. Project Summary

Project Title/Location
 Exploring the Role of an EMS in Permitting Environmental Leaders and Increasing Participation in State and National Performance-Based Programs (Statewide)

Agency
Georgia Department of Natural Resources’ (DNR) Environmental Protection Division (EPD, lead agency) in partnership with the DNR’s Pollution Prevention Assistance Division (P 2AD)

Project Contacts:
 Jeff Carter, Georgia Department of Natural Resources - EPD; 2 MLK, Jr., Dr., Ste 1252 East Tower; Atlanta, GA 30334; Phone: (404) 656-4713; Fax: (404) 651-5778; Email: jcarter@dnr.state.ga.us

Stephanie Busch, Georgia Department of Natural Resources – P 2AD; 7 MLK, Jr., Dr., Ste 450; Atlanta, GA 30334; Phone: (404) 657-2696; Fax: (404) 651-5130; Email:stephanie_busch@p2ad.org

RCRA:
This project will addresses all media including hazardous waste management and permitting under RCRA.

Federal Government Participation Needed:
It is possible based on the permit alternatives investigated as part of this project that guidance regarding the types of federal regulatory flexibility required will be necessary. Therefore, Georgia EPD and P 2AD plan to work closely with EPA Region 4 and the National Environmental Performance Track (NEPT) program to discuss regulatory flexibility options for facilities that participate in performance-based programs, as well to define a mechanism to streamline the adoption of federal regulatory incentives.

Other Federal Funds:
P 2AD is applying for EPA Pollution Prevention Grant funds for maintenance of the P 2AD Partnership Program. The scopes were written to complement each other while not duplicating services.

Statement of Support:
The EPD Director and P 2AD Director are fully supportive of the project.

II. Project Narrative

Introduction
The purpose of the project is to achieve better environmental results by using innovative permitting and by increasing participation in the P 2AD Partnership Program, a performance-based program aligned with the National Environmental Performance Track (NEPT) program.

Program Criteria

Criteria A. Target Environmental Priorities

The proposal addresses two interrelated components. The first component addresses innovations to the permitting, reporting and enforcement processes. Specifically, the project seeks to determine if innovative permitting approaches for a sector, such as Department of Defense (DoD), can reap multiple benefits, including reduced administrative burden, improved efficiency, and better environmental results.

As part of the project, EPD will examine the use of an EMS in the permitting and monitoring process. This aspect of the project will seek to answer questions posed in EPA’s EMS strategy including: If EMS elements improve performance and efficiency by substituting documentation for overlapping administrative and information-gathering requirements in rules and permits? For example, EPD is interested in determining if EMS documentation and procedures can be used in lieu of the certification and reporting requirements under Title V. EPD will also explore using innovative approaches in the permitting process. For example, EPD might investigate if permit-by-rule would be more efficient for certain sources under Title V or if one multi-media permit could be issued to DoD facilities in the state to alleviate administrative burden and address environmental issues using a systems approach. To reward environmental leaders and strengthen the P 2AD Partnership Program, only facilities that participate in the program will be eligible for flexibility – with initial focus on DoD partners.

The second component of the proposal is to increase participation in both the P 2AD Partnership Program and NEPT by expanding incentives (this step is closely linked to the innovative permitting component), removing barriers to providing incentives, and integrating research and additional national programs into the P 2AD Partnership Program to address state, regional and national environmental priorities.

As described above, EPD will work with P 2AD to determine incentives, particularly regarding permitting and reporting, that can be tied to a facility’s EMS. Since partners in both the P 2AD Partnership Program and NEPT must implement and audit their EMS before receiving regulatory incentives, facilities desiring regulatory flexibility in Georgia will be motivated to implement an EMS.

In April 2004, EPD, P 2AD, and EPA Region 4 signed a formal Memorandum of Agreement (MOA) to increase the effectiveness and efficiency of NEPT and the P 2AD Partnership Program. In order to increase participation in performance-based programs, states must have the ability to provide incentives to partners. Currently, Georgia cannot provide federal incentives to partners that are not also NEPT members, since the federal rule specifies that only NEPT members are eligible for federal regulatory incentives. Currently, six of the state program’s top tier partners are NEPT members, and another six are not. It is imperative to the success of the state program that P 2AD reach a reciprocal agreement between its program and NEPT. Not only will reciprocity increase participation in both programs, it will also ensure the delivery of incentives to state partners and significantly reduce transaction costs incurred by EPD in adopting and providing regulatory incentives. P 2AD hopes to create a model reciprocal agreement as part of this project.

As participation in voluntary, performance-based programs grows, these programs will need to adapt quickly to non-traditional sectors that wish to participate. Program criteria and the mechanism to deliver incentives to these new sectors will need to be carefully evaluated to ensure that participants receive the benefits of being a partner. An example of a sector that will likely have numerous facilities applying to join performance-based programs is the military. In order to comply with Executive Order 13148, DoD facilities must have an EMS in place by the end of 2005. P 2AD has a long-standing and strong partnership with the Department of Defense (DoD); the agencies jointly established a goal to have all installations in Georgia enrolled in the P 2AD Partnership Program by December 2006. This goal is aligned with the mission of the Georgia P 2AD/DoD Sustainable Installation Partnership to promote environmental stewardship at Georgia’s DoD installations (using an EMS approach), while ensuring mission readiness and the long-term viability of these facilities in the state.

However, neither the P 2AD Partnership Program nor NEPT currently have a mechanism to deal with the unique situation presented by military installations. The NEPT program was designed for facilities that have one EMS for the entire facility. However, given their size, installations may pursue implementing multiple EMSs. Under the current system, neither the P 2AD Partnership Program nor NEPT have a formal system to provide incentives to a subpart of a facility. To complicate matters further, DoD installations typically carry one EPA ID number. EPD and P 2AD will need to determine the best approach for delivering incentives to a subpart or tenant at an installation. By addressing this issue before numerous installations join the program, EPD will ensure it can provide incentives to these partners in a timely manner.

Finally, Georgia will investigate the possibility of a collaborative approach between the state and EPA to provide partners with compliance information. Under EPA’s Strategic Goal for Compliance Assistance and Stewardship, EPA expresses the desire to “…partner with state and local governments… to equip those working directly with the regulated community with compliance information … interact directly with regulated entities through training, on-site visits, and workshops…” The current structure of the P 2AD Partnership Program provides EPA the opportunity to test this approach. At present, partners in the P 2AD Partnership Program are offered a baseline assessment, gap analysis, EMS training and technical assistance. The project will discuss what role, if any, a regulatory agency might have in providing technical assistance to further maximize resources and increase compliance information provided to the regulated community.

The project builds on three focus areas addressed in EPA’s Innovation Strategy: 1) Strengthen EPA’s innovation partnerships with states; 2) Foster innovation on priority environmental problems (by establishing mechanisms to integrate national programs such as the Resource Conservation Challenge and Hospitals for a Healthy Environment into the state’s P 2AD Partnership Program; and, 3) Diversify environmental protection tools and approaches (by investigating the role a facility’s EMS plays in improving efficiency in providing information required in rules and permits.) It also closely aligns with EPA’s Strategic Goal focused on Compliance and Environmental Stewardship, specifically o bjectives 5.1 and 5.2 and sub-objectives 5.1.1, 5.1.2, 5.2.1, 5.2.2, 5.2.3, and 5.2.4 as well as EPA’s EMS Strategy.

Criteria B: Improvements in Results from Project Implementation

The intent of the regulatory flexibility component of this project is to verify that flexibility in permitting, reporting, and inspections (based on a facility’s EMS) can yield better results, reduce transaction costs to both EPD and the facilities, and allow EPD to redirect inspections to higher priorities. This proposal addresses all media.

How does the tool or approach differ from current methods?

How does the project build on “lessons learned” from prior experience?
The project will build on the success of Wisconsin and Colorado’s innovation grants to pursue EMS-permits and will use the well-established Georgia P 2AD/DoD Sustainable Installation Partnership to facilitate collaboration between Georgia’s military installations and EPD.

What are the quantifiable improvements in environmental outcomes expected from this innovation?
The outcomes will include an increase in the compliance rates at partner facilities and a reduction in waste disposed and emissions released.

What are the measurable improvements in administrative efficiency and operational costs?
By reducing the administrative burden associated with permitting, reporting, and compliance, EPD will improve its operational efficiency and have time and personnel to redirect toward currently under-addressed EPA strategic goals, i.e., eco-system protection or sustainability. The reciprocal agreement to facilitate the adoption of federal regulatory incentives will further reduce transaction costs incurred by EPD and decrease the time needed to provide incentives to partner.

Are the savings for the regulated entities clearly described?
Significant savings will result from facilities not having to apply for a permit(s), submit modifications or provide certification. Cost savings from improved efficiency directly impact a company’s bottom line.

What are the public involvement processes used to ensure public knowledge of and participation in the project?
It is standard practice to involve stakeholders in the decision-making process related to programmatic changes to the P 2AD Partnership Program. An external advisory panel representing NGOs, industry, institutions and government reviews changes and provides input into the selection of top-tiered partners.

Criteria C: Measuring Improvement and Accountability  

What are the goals for the innovation project?

What are the indicators of environmental improvement?
Percent of partners receiving incentives that are also in compliance

How and when will the baseline measurements be developed?
The P 2AD Partnership Program has an established mechanism for obtaining environmental metrics. The baseline will be developed at the end of the first year using the baseline measurements submitted by DoD partners in the P 2AD Partnership Program. Partners receiving incentives will be asked to submit reductions in time and cost savings from the streamlined permitting process or reduced reporting requirements (measured in FTE and dollars) as part of the project. Methodology employed by other states, such as Indiana will be reviewed to determine the best approach for collecting data.

What are the plan, timeline, and commitment for measuring and evaluating how well the project meets its goals and objectives?
Annual performance reports submitted by partners will be used to measure progress toward meeting goals based on a CY06 baseline. P 2AD will annually track progress on waste reduction and emissions to air, land, and water as part of the annual reports submitted by their partners. EPD will monitor air and water quality and TRI data.

What are the expected short-term measurable results to be obtained through this innovation?
Since the project is designed to link innovative permitting to the P 2AD Partnership Program and seek reciprocity between the P 2AD Partnership Program and NEPT, the project will result in an increase in the number and type of participants in both the state and national performance-based programs , an increase in the number of facilities that have an EMS, increase in compliance rates as more and more facilities in Georgia implement EMSs, and reduction of waste and emissions released by partners. The reductions in waste and emissions will be obtained through the annual performance reports submitted by the partners; a facility’s compliance record will be obtained from the EMS audit and inspection reports. The total pounds of pollutants reduced each year will be measured against the time EPD staff spends in permitting and enforcement activities.

What are the expected long-term measurable results to be obtained through this innovation, how will they be measured, and what is the time span for those results?
Reductions in waste and emissions will continue to be measured indefinitely providing excellent data for a trend analysis. As state, regional, or national priorities are integrated into the P 2AD Partnership Program, partners’ progress on addressing these priority areas will be tracked. Another long-term result of the project may include a significant change in how DoD facilities are regulated in Georgia. If the multi-media permit approach proves successful for DoD, additional sectors may be considered. Finally, the amount of time required to adopt federal incentives will decrease; EPD will track the hours to adopt incentives.

Program Criteria D: Transferring Innovation

What methods will be used to document and publicize the outcomes and methods of this innovation and make the information available to other jurisdictions?
The final report, describing the lessons learned and environmental outcomes, will be posted on DNR’s Web page. The final work plan detailing the agreements for reciprocity between the P 2AD Partnership Program and NEPT and the methodology for adopting federal incentives will be made available through NEPT for other states to use as a model. The methodology for providing incentives to DoD facilities will be shared with other states through their state DoD pollution prevention partnership meetings and also posted on DENIX, DoD’s environmental Web site.

What is the potential for widespread application or use of the tool/approach as a model for “next generation” environmental protection?
The approach developed for delivering incentives to a subpart of an installation will be transferable to other states with a strong DoD presence, as well as to other sectors that have multiple tenants, such as ports. The mechanism to integrate the priorities of national programs, such as Resource Conservation Challenge and WasteWise, into the P 2AD Partnership Program will be transferable to both NEPT and other state programs, thus increasing the number of partners assisting EPA with meeting goals and possibly obtaining desired outcomes quicker.

How will the application of this innovation be used to promote organizational system change within the State or more broadly?
The project will demonstrate if flexible permitting or reduced reporting requirements (based on a systems approach and using a facility’s EMS) leads to better environmental results and the ability to redirect resources to other higher priority areas. If the project is successful in reaching a reciprocal agreement with NEPT that expedites the delivery of federal and state regulatory incentives, then the agreement could be used as a model by other states , thus expediting the adoption of federal incentives by the states with MOAs.

What commitments can the proposing State make to provide consultation and mentoring to other States wishing to adopt similar innovations?
P 2AD will provide mentoring to other states through the use of teleconferences or technical assistance via e-mail or at regional NEPT or DoD meetings.

III. Project Schedule and Timeframe

 

Task

End Date

Finalize work plan with EPA, EPD and P 2AD to establish reciprocity between NEPT and state program

Spring 2006

Formalize goal with DoD to have all 13 installations join the P 2AD Partnership Program

Spring 2006

Work with the Georgia P 2AD/DoD Sustainable Installation Partnership to discuss regulatory incentives, identify barriers that prevent incentives from being delivered to DoD installations, and develop mechanisms for providing incentives to tenants on a base

Summer 2006

Determine permit or reporting requirements that overlap or are addressed in an EMS

Summer 2006

Develop decision matrix for integrating priorities and applicable performance-based programs into the P 2AD Partnership Program; integrate programs that align with the mission of the Program

Summer 2006

Survey partners to determine the reasons for lack of participation in state or national performance-based programs; convene conference call with other states to identify barriers to implementing federal NEPT incentives.

Summer 2006

Conduct site visits to partners’ facilities to train EPD inspectors on the elements of an EMS; determine role of regulatory agency in providing compliance assistance

Fall 2006

Determine incentives and establish metrics for measuring progress

Winter 2006-7

Compile baseline measurements and transaction cost data from facilities and EPD

Winter 2006-7

Finalize incentives and mechanism for delivering incentives

Winter 2006-7

Collect data from partners and compile final report showing progress toward meeting goals; Data will continued to be gathered and made available to the public on an biennial basis after the project ends

Winter 2007-8


IV. Budget Summary [Removed by EPA]

Project Title: Exploring the Role of an EMS in Permitting Environmental Leaders and Increasing Participation in State and National Performance-Based Programs (Statewide)

Agency
Georgia Department of Natural Resources’ (DNR) Environmental Protection Division (EPD, lead agency) in partnership with the DNR’s Pollution Prevention Assistance Division (P 2AD)

Project Contacts:
Jeff Carter, Georgia Department of Natural Resources; 2 MLK, Jr., Dr., Ste 1252 East Tower; Atlanta, GA 30334; Phone: (404) 656-4713; Fax: (404) 651-5778; Email: jcarter@dnr.state.ga.us

Stephanie Busch, Georgia Department of Natural Resources; 7 MLK, Jr., Dr., Ste 450; Atlanta, GA 30334; Phone: (404) 657-2696; Fax: (404) 651-5130; Email:stephanie_busch@p2ad.org

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