ATTACHMENT F: SAMPLE GEMS PERMIT 
This attachment includes:  
•	Sample GEMS Review Report (Acme Manufacturing example)
•	Sample GEMS Achiever Permit  (Acme Manufacturing example)

Green Environmental Management System (GEMS) Permit Review Report
for

Acme Paint Manufacturing
12345 Main Street
Portland, OR 97000
Suzanne Wilson

Facility Description
1.	The permittee operates a paint and coating manufacturing facility at 12345 Main Street in Portland, Oregon.  The process includes paint manufacturing lines, as well as packaging and shipping.  The facility has been operating at this location since 1992. 

Regulatory Status
2.	The regulatory status of the permittee is summarized in the following table:

Media
Program	Type of Permit/
Registration	Permit/ Registration Number	

Air
Quality	Oregon Title V Operating Permit (OTOP)		
1.		Air Contaminant Discharge Permit (ACDP)	26-1234	
1.		Other General Air Quality Permit		

Water
Quality	National Pollutant Discharge Elimination System (NPDES) Permit		
1.		Water Pollution Control Facility (WPCF) Permit		
1.		General Stormwater Permit		
1.		Other General Water Quality Permit		
1.		Local POTW Pretreatment Permit	500	
Hazardous
Waste	Generator Status?  CEG   SQG   LQG	ORD012345678	
1.		Treatment, Storage Disposal (TSD) Permit		

Solid
Waste	Solid Waste Disposal Facility Permit		
1.		Solid Waste Treatment Facility Permit		
1.		Composting Facility Permit		

Environmental Impacts
3.	The facility is located in the Portland-Vancouver AQMA airshed.  This airshed is a designated maintenance area for carbon monoxide and ozone.

4.	The facility is located in the Lower Willamette River watershed.  This basin is limited for toxics, biological criteria, bacteria and temperature

5.	Existing sources of air contaminants, wastewaters, solid and hazardous wastes or other pollutants at the facility consist of the following: 

Process or Activity	Pollutant	Impacted Media	
Paint manufacturing and solvents	Solvents	Air quality	
Employee and supplier trucks	Exhaust fumes, noise	Air quality	
Wastewater discharges to city treatment plant	pH, suspended solids	Water quality	
Equipment cleaning, sludge from paint manufacturing operations	Solvents, sludge	Air quality
Hazardous waste (land)	
Containers received from suppliers	Garbage	Solid waste (land)	

Criteria for Issuance of a GEMS Permit
6.	The Department has verified that the permittee has met the tier achievement criteria for the following GEMS Permit elements:
a.	EMS performance;
b.	baseline performance report;
c.	performance achievements; 
d.	performance measures; and
e.	stakeholder involvement plan.

Environmental Management System (EMS) Performance 
For a GEMS Participant (Tier I) Permits -
7.	The permittee has implemented a robust environmental management system that is certified as meeting the ISO 14001 standard, or meets the purpose and intent of each of the ISO 14001 clauses and supports verification.  

8.	
The following is a summary of the EMS as it was implemented:

EMS Element	Implementation Date	
Environmental Policy Statement	January 1999	
Identification of Environmental Aspects and Impacts	March 1999	
Setting Objectives and Targets	March 1999	
Structure and Responsibility	June 1999	
Training	September 1999	
External Communication	June 1999	
Monitoring and Measurement	June 1999	
Auditing	March 2000	
Management Review	June 2000	
Certification	Not applicable	

Baseline Performance Report
9.	The permittee has submitted a baseline performance report that summarizes:
a.	Environmental policies affecting the permittee’s operations;
b.	Environmental information regarding significant environmental impacts; and
c.	The environmental program that will achieve the results anticipated by evaluating the environmental impacts of the permittee’s regulated pollutants and setting objectives and targets.

10.	A demonstration that the permittee has reduced overall environmental impacts in the three (3) year period prior to applying to the GEMS Permit, or, for new facilities, demonstrated by methods used to minimize environmental impacts in the design of the facility.
Acme’s environmental performance builds upon many efforts.  Acme updated its Toxics Use Reduction Plan in 1996 and implemented several pollution projects that have yielded results.  Changes in the formulation of three product lines, as well as aggressive efforts to use less material and generate less waste, have resulted in reductions of air emmissions and wastes generated.

Performance Achievement
11.	The permittee has developed a program that will achieve environmental results that are significantly better than otherwise required by law.
Acme’s environmental management system is being implement in lieu of doing further toxics use reduction plan updates. They are working with five customers on new product formulations that should result in reductions in air emissions and hazardous waste generated.  Acme-Portland has developed software to closely monitor the use of certain materials and generation of wastes and pollutants within our facility, as a pilot that may be expanded for use by other Acme facilities.  This effort has become part of their quality improvement system, and has merged environmental concerns with other process efficiency reports.  This new software and procedures will help Acme improve its operating efficiency and result in environmental improvements, but it is difficult to quantify exact numbers at this time. They are working toward a 60% reduction in baseline levels.  

For GEMS Achiever (Tier II) Permits -
12.	The permittee has evaluated environmental impacts and set objectives and targets that meet the expectations for a GEMS Achiever (Tier II) Permit and will achieve superior environmental for all site-based aspects that have significant impacts, taking into consideration both regulated and unregulated pollutants and other environmental impacts.

Performance Measures
13.	The permittee has established performance measures that will be used to explain environmental information in context with past performance. Air emissions, hazardous wastes, and solid wastes are being monitored using the software described above.  These performance measures are normalized using annual production rates (gallons of coating manufactured each year).

Stakeholder Involvement Plan
For GEMS Achiever (Tier II) Permits -
14.	The permittee has developed a stakeholder involvement plan that includes activities that provide for dialogue regarding environmental performance and a mechanism for receiving, considering and responding to comments received.  The permittee shall:
a.	Encourage public inquiries and comments regarding the permittee’s environmental performance;
b.	Provide mechanisms to discuss the environmental policy, annual performance report, environmental aspects and impacts, and establishment of objectives and targets; and
c.	Consider the results of the stakeholder involvement in decisionmaking and respond to comments received.
The permittee has developed an environmental report and interactive web page to provide information about their environmental performance to the public and solicit comments.  They plan to place an advertisement in the Portland Oregonian announcing the availability of this information and the pending formation of a community advisory panel.  These activities are scheduled for the fall of 2000.  

Notifications and Reporting
15.	The annual GEMS update report required in GEMS Permit Condition 3.3 would include:
a.	Performance achievements, and, if appropriate, a description of any obstacles encountered and how addressed;
b.	Environmental management system deficiencies and how addressed; and
c.	Compliance issues and how addressed
d.	Stakeholder involvement activities, and input received from stakeholders and how addressed; 
e.	Revised objectives and targets for targeted impacts; and
f.	Other information required in the permit, specific to the facility..

Special Conditions – Department Commitments
Single Point of Contact - GEMS Permit Condition 4.2
16.	The Single Point of Contact (SPOC) will act as a facilitator or team leader, keep other Department staff apprised of issues, and facilitate resolution of any environmental issues as quickly as possible in a partnership mode.  The SPOC does not have the authority to make decisions regarding regulatory compliance with the GEMS Permit or any other permits issued by the Department, but will facilitate decisions that are made.

Technical Assistance - GEMS Permit Condition 4.3
17.	Technical assistance will be available to the permittee from the Department in regards to environmental issues and those associated with the GEMS Permit program.

Enforcement Discretion - GEMS Permit Condition 4.4
18.	See the “Internal Management Directive for Green Environmental Management Systems (GEMS) Permits Enforcement Response”.  The enforcement directive encourages using the environmental management system to correct instances of potential noncompliance, and encourages maximum enforcement discretion for compliance issues discovered by the permittee or the Department during the term of this GEMS Achiever permit.

Public Recognition – GEMS Permit Condition 4.5
24.	The Department shall establish a program for recognizing achievements of facilities that have an approved GEMS Permit commensurate with the type of GEMS Permit approved.  This recognition will include a certificate from the agency director, recognition on DEQ’s web page, recognition at the annual Northwest Environmental Conference, and a newspaper advertising notifying the public of the facility’s accomplishments.

25.	Permittees with an approved GEMS Permit may promote their achievements in a manner that is commensurate with the type and duration of GEMS permit approved.  The GEMS permittee may use the Green Permits program identity only in reference to the facility that has received the Green Permit.  The Green Permit program identity may not be used for product labeling.  

Flexible Permitting – GEMS Permit Condition 4.6
26.	The permittee is allowed to make facility process changes without submitting a Notice of Intent to Construct form to the Department.  The permittee shall notify the Department of these changes in its annual Green Permit performance report. The Department may require permit modifications if changes result in the generation of new pollutants that exceed allowable limits established in existing permits.

Expedited Permitting – GEMS Permit Condition 4.7
27.	Permit applications and modifications submitted to DEQ shall be reviewed, processed and sent out for public notice within 120 days of receipt.  An exception to this review time frame could be invoked if an NPDES permit application triggers an Endangered Species Act (ESA) review due to the potential impact on fish species in the Willamette River.

Cost Recovery Agreement (OAR 340-014-0165)
27.	The permittee will fully reimburse the Department for the Department’s invoiced direct and indirect cost of:
a.	conducting the review;
b.	providing technical assistance;
c.	negotiating the relevant permit provisions;
d.	responding to public comment;
e.	administering the GEMS Permit;
f.	monitoring compliance with the conditions of the GEMS Permit and environmental outcomes resulting from the GEMS Permit; and 
g.	publicizing and conducting the public hearings.  

28.	Indirect costs shall be comprised of general management, support, administrative and overhead costs of the Department that the Department deems to be allocable using generally accepted accounting principles.

Public Notice
29.	As per OAR 340-014-045, the proposed GEMS permit will be placed on public notice from (date) to (date).

GREEN ENVIRONMENTAL MANAGEMENT SYSTEM (GEMS) 
ACHIEVER (TIER II) PERMIT

Oregon Department of Environmental Quality
2020 SW 4th Avenue, Suite 400
Portland, OR 97201

Telephone:  (503) 229-5263

Issued in accordance with the provisions of ORS 468.020 and
based on the land use compatibility findings included in the permit record.

Issued To:
   
   Acme Paint Manufacturing
   12345 Main Street
   Portland, OR 97000
	
Information Relied Upon:
   
   Application No. 5
   Date Received: February 18, 2000
	
Plant Site Location:
   
   Same as above
	Land Use Compatibility Statement:
   
   From: City of Portland
   Dated: August 13, 1992

ISSUED BY THE OREGON DEPARTMENT OF ENVIRONMENTAL QUALITY

			
Neil Mullane, Northwest Region Administrator		Date

	
Type of Facility (description)
Paint and Coating Manufacturing
	NAICS or SIC Code
325510

Contents

This sample permit includes the following sections
•	Permitted Activities
•	GEMS Achiever (Tier II) Program Requirements
•	Notifications and Reporting
•	
Special Conditions – Department Commitments
•	Renewal Procedures 
•	Modification Procedures
•	Termination Procedures
•	General Department Conditions

1.0  Permitted Activities	
1.1	Green Permit Authority	The Green Permit program was established to encourage and reward actions that achieve environmental performance that is significantly better than otherwise provided by law.  ORS 468.501 through 468.521 authorizes the Department of Environmental Quality (Department) to issue permits, provide or seek exemptions or waivers from regulatory requirements that achieve superior results. This permit is issued by the Department of Environmental Quality under the authority of ORS 468.020.	
1.2	Applicable local, state and federal regulations	This permit does not waive, limit or reduce the permittee’s legal obligation with respect to any applicable local, state, or federal requirements to which the permittee may be subject, unless otherwise specified within this permit.  Selected incentives described in Section 4 do supplant specific provisions within the permittee’s existing permits or the rules governing its operations.  However, all other provisions in existing permits listed below and rules that are not explicitly referenced in this GEMS Achiever Permit remain in effect.	
1.3	Definitions	Unless otherwise specified, all terms are as defined in OAR 340-014-0105. 	
2.0  GEMS Achiever (Tier II) Program Requirements (OAR 340-014-0120)	
2.1	In this section	This section describes the activities the permittee will conduct to maintain the Environmental Achiever (Tier II) GEMS permit.  These criteria include:
•	EMS Characteristic Requirements
•	EMS Scope Requirements
•	Environmental Performance Achievement Requirements
•	Performance Measures Requirements
•	Performance Reporting Requirements
•	Stakeholder Involvement Requirements	
2.2	EMS Characteristics
	(340-014-0120(1))	The permittee shall maintain and improve a robust environmental management system that is certified as meeting the ISO 14001 standard, or meets the purpose or intent of each of the ISO 14001 clauses, and supports verification.  The permittee shall be committed to maintaining and exceeding regulatory compliance.  The permittee shall be committed to applying the pollution prevention definition and the pollution prevention hierarchy when setting objectives and targets and implementing the environmental program.  The permittee shall be committed to continual improvement.  At least once every three years, the permittee shall demonstrate that the EMS is being effectively implemented.	
2.3	Scope of the EMS
	(340-014-0120(2))	The permittee shall evaluate environmental impacts and set objectives and targets that will achieve superior environmental for all site-based aspects that have significant impacts, taking into consideration both regulated and unregulated pollutants and other environmental impacts.	
2.4	Performance Achievement
	(340-014-0120(3))	The permittee shall achieve environmental results that are significantly better than otherwise required by law, demonstrated by projected reductions in targeted environmental impacts and actual reductions in annual performance reports.	
2.5	Performance Measures
	(340-014-0120(4))	The permittee shall establish and utilize performance measures that explain environmental information in context with past performance.  	
2.6	Stakeholder Involvement
	(340-014-0120(7))	The permittee shall implement a stakeholder involvement plan.  The plan shall include activities that provide for dialogue regarding environmental performance and a mechanism for receiving, considering and responding to comments received.  The permittee shall:
•	Encourage public inquiries and comments regarding the facility’s environmental performance;
•	Provide mechanisms to discuss the environmental policy, annual performance report, environmental aspects and impacts, and establishment of objectives and targets; and
•	Consider the results of the stakeholder involvement in decisionmaking and respond to comments received.
The stakeholder involvement plan shall continue to be implemented through the duration of this permit.  The permittee shall report on activities in each annual report.	
3.0  Notifications and Reporting	
3.1	In this section	This section describes the procedures and methods the permittee shall use for reporting information to the Department during the permit period, including:
•	Immediate Notifications
•	Annual Reporting
•	Modified Compliance Reporting	
3.2	Immediate Notifications	The permittee shall notify the Department immediately upon the occurrence of any environmental incidents for which they are required to report immediately under existing permits and rules. 	
3.3	Annual Reporting 
(340-014-0120(6))	By March 1 of each calendar year, the permittee shall submit a GEMS update report.  The report shall include:
•	Any updates to the baseline performance report;
•	Performance achievements, and, if appropriate, a description of any obstacles encountered, and how addressed;
•	Environmental management system deficiencies, and how addressed;
•	Compliance issues, and how addressed;
•	Stakeholder involvement activities and input received from stakeholders, and how addressed; and
•	Revised objectives and targets for targeted impacts.
•	Other information as described in section 4.0 of this report.	
3.4	Modified Compliance Reporting	In lieu of the annual compliance reporting requirements in the Air Quality Permit Condition 20, OAR 340-102-041 of the state hazardous waste regulations, and OAR 340-135-070 of the state toxics use reduction regulations, the permittee’s compliance reporting requirements are modified as per Condition  4.6 and/or 4.7	
4.0  Special Conditions – Department Commitments	
4.1	In this section	All incentives or waivers shall be in effect during the duration of this GEMS Achiever Permit.  The expiration or termination of this GEMS Achiever Permit removes the Department’s ability to grant these incentives or waivers.  All justifications and limitations for the granting of these incentives or waivers are documented in the attached review report.  This section describes the incentives provided to the permittee by the Department at the time the GEMS Achiever criteria are met.  The incentives are the following:
•	Single Point of Contact
•	Technical Assistance 
•	Enforcement Response
•	Public Recognition 
•	Flexible Permitting
•	Consolidated Compliance Reporting
•	Maximum Review Time for Permit Applications and Modifications	
4.2	Single Point of Contact	The permittee shall be eligible to be assigned a Single Point of Contact (SPOC) by the Department for all environmental issues relating to the permittee’s implementation of activities specified in this GEMS Achiever Permit.  Environmental issues will be limited to those laws described under ORS 468.501.  The SPOC will act as a facilitator or team leader, keep other environmental Department staff apprised of issues, and facilitate resolution of any environmental issues as expediently as possible.	
4.3	Technical Assistance	The permittee shall be eligible to receive technical assistance on EMS development, compliance assistance, and stakeholder involvement activities from the Department.	
4.4	Enforcement Response	All compliance interactions between the Department and the permittee shall utilize the policy entitled “Internal Management Directive for Green Permits Enforcement Response”.  The enforcement directive encourages using the environmental management system to correct instances of potential noncompliance, and encourages maximum enforcement discretion for any compliance issues discovered by the permittee or the Department during the term of this GEMS Achiever permit.	
4.5	Public Recognition	The permittee’s achievements will be recognized by the Department in a manner that is commensurate with the type and duration of this GEMS Achiever Permit. The GEMS permittee may use the Green Permits program identity only in reference to the facility that has received the Green Permit.  The Green Permit program identity may not be used for product labeling.	
4.6	Flexible Permitting	In lieu of Condition G5 of its Air Contaminant Discharge Permit No.26-1234, the permittee is allowed to make facility process changes without submitting permit modifications to the Department as long as the emissions do not exceed the limits in the permit.  The permittee shall notify the Department of these changes in its annual Green Permit performance report. The Department may require permit modifications if changes result in the generation of new pollutants that exceed allowable limits established in existing permits.	
4.7	Consolidated Reporting	In lieu of the annual compliance reporting dates specified in Air Contaminant Discharge Permit No. 26-1234, Condition 20; OAR 340-102-041 of the state hazardous waste regulations, and OAR 340-135-070 of the state toxics use reduction regulations, the permittee shall submit data required by these permit conditions and rules with its annual GEMS Update Report on April 1 of each year.  All of the information currently collected as part of existing Department reporting requirements shall be submitted with this report.	
4.8	Maximum Review Time for Permit Applications and Modifications	Permit applications and modifications submitted to DEQ shall be reviewed, processed and sent out for public notice within 120 days of receipt.  An exception to this review time frame could be invoked if an NPDES permit application triggers an Endangered Species Act (ESA) review due to the potential impact on fish species in the Willamette River.	
5.0  Renewal Procedures (OAR 340-014-0150) 	
5.1	In this Section	This section addresses the procedures and criteria for initiating permit renewals, including: 
•	Application Timing
•	Application Review	
5.2	Application Timing	Application for renewal of this GEMS Achiever Permit must be submitted not less than 90 days prior to the expiration date.  The renewal period shall be 10 years.  	
5.3	Application Review	Upon receipt of an application for renewal of the Permit, the Department shall verify that the permittee continues to meet the criteria for the approval of the GEMS Achiever Permit, and evaluate whether the conditions should be continued.  The Department shall provide public notice of the renewal application and proposed changes in the GEMS Achiever Permit, pursuant to OAR 340-014-0145(6).	
6.0  Modification Procedures (OAR 340-014-0155) 	
6.1	In this Section	This section addresses the procedures and criteria for initiating permit renewals, including: 
•	Procedures
•	Application Review
•	Conditions for Department Modification	
6.2	Procedures	The permittee may apply for a different type of GEMS Permit at any time.  The permittee may apply for a modification of the conditions of this GEMS Achiever Permit at any time.	
6.3	Application Review	Upon receipt of an application for a modification, the Department shall determine whether the proposed modification is a minor modification or a significant modification, taking into consideration whether modifications to any waivers are proposed or not.  
•	If the modification is significant, the Department shall follow the procedures described in OAR 340-014-0145. 
•	If the modification is minor, the Department shall provide public notice in accordance with OAR 340-014-0145(5).  If, within 30 days after commencement of the public notice period, the Department receives written requests from 10 persons or from an organization or organizations representing at least 10 persons, for reconsideration as a significant modification, then the Department shall follow all of the remaining procedures describes in OAR 340-014-0145.	
6.4	Conditions for Department Modification	The Department may propose to modify this GEMS Achiever Permit in accordance with the procedures described in OAR 340-014-0160(4) if the facility no longer meets the criteria for this GEMS Achiever Permit, but may meet the criteria for a different type of GEMS Permit.  Upon receipt of the correction action report and upon completion of such additional investigation as may be required, the Department will either modify this GEMS Achiever Permit in accordance with the procedures above, or withdraw its intent to modify this GEMS Achiever Permit.	
7.0  Termination Procedures (OAR 340-014-0160)	
7.1	In this section	This section addresses the procedures and conditions for terminating the permit, including:
•	Procedures
•	Conditions for Department Termination	
7.2	Procedures	The permittee may terminate this GEMS Achiever Permit by providing 30 days written notice to the Department. 	
7.3	Conditions for Department Termination	The Department may terminate this GEMS Achiever Permit if the permittee:
•	does not develop an annual performance report and make it available to the Department and the public in a timely fashion;
•	no longer meets the criteria for approval for a GEMS Achiever Permit or the permittee is not effectively implementing its environmental management system;
•	is found guilty of a criminal violation of environmental law;
•	fails to correct a violation discovered through routine environmental management system reviews or Department inspections within a reasonable time frame; or
•	experiences repeated violations that reflect a serious underlying deficiency in the facility’s environmental management system.
The Department shall notify the permittee of its intent to terminate this GEMS Achiever Permit and provide a reasonable time for the facility to correct the alleged deficiencies and submit a corrective action report.  The complete procedures for termination are located in OAR 340-014-0160.	
8.0  General Department Conditions	
8.1	In this section	This section addresses the general conditions governing the implementation and administration of this GEMS Achiever Permit, including:
•	Cost Recovery
•	Permit Availability
•	Access to Plant Site and Records
•	Notification of Name Change
•	Inquiries	
8.2	Cost Recovery	The permittee shall maintain a sufficient deposit with the Department to meet or exceed the projected cost recovery needs for a three-month period in accordance with the quarterly updates provided by the Department.  	
8.3	Permit Availability	The permittee shall have available at the facility at all times a copy of this GEMS Achiever Permit.	
8.4	Access to Plant Site and Records	The permittee shall allow Department representatives access to the plant site and pertinent records at all reasonable times for the purposes of making inspections, surveys, collecting samples, obtaining data, reviewing and copying all environmental compliance and EMS system audit records and otherwise conducting all necessary functions related to this permit.	
8.5	Sale or Transfer of the Facility	The permittee shall notify the Department in writing using a “Green Permit Sale or Transfer of Ownership Form” at lest 60 days prior to the legal change of the ownership of the company.  If this information is not provided in a timely manner, along with a demonstration that the new owner can continue to meet the requirements of the permit, the Green Permit shall be terminated.  The Department will follow the procedures for modification described above.	
8.6	Inquiries	Department of Environmental Quality
Northwest Region Office
2020 SW Fourth Avenue
Suite 400
Portland, OR  97201-4987
Telephone:  (503) 229-5263