THE OREGON
GREEN PERMITS 
PROGRAM GUIDE

OREGON DEPARTMENT OF 
ENVIRONMENTAL QUALITY

January 14, 2000

Oregon Green Permits Program Guide

This project was funded through a grant to the Oregon Department of Environmental Quality from the U.S. Environmental Protection Agency.  If you have questions or need additional information contact:

Marianne Fitzgerald,
Green Permits Program Coordinator
Oregon Department of Environmental Quality
811 S.W. Sixth Avenue
Portland, Oregon 97204
Phone (503) 229-5946
Fax (503) 229-5850
Toll-free in Oregon, (800) 452-4011
TTY (503) 229-6993
email: fitzgerald.marianne@deq.state.or.us.
http://www.deq.state.or.us

In Lane County, contact:

Lane Regional Air Pollution Authority
1010 Main Street
Springfield, OR   97477
Phone (503) 726-2514
Fax (541) 726-1205
Prepared By:

Rifer Environmental
1975 N.W. 113th Ave.
Portland, Oregon 97229
DEQ Contract: #141-98
and
Cogan Owens Cogan
320 Woodlark Building
813 SW Alder Street
Portland, Oregon 97205
contract: #24-99
To request a copy of this publication in an alternative format, such as large type or Braille, contact DEQ.

Table of Contents

CHAPTER 1.  INTRODUCTION AND OVERVIEW	1-1
Application Process (Program Entry)	1-2
Permit Development	1-4
Verification	1-5
Permit Approval	1-5
Cost Recovery	1-6
Renewal and Termination	1-6
CHAPTER 2.  APPLICATION AND ENTRY PROCEDURES	2-1
Application	2-1
Workplan	2-3
Cost Recovery Deposit	2-4
Public Notice Regarding Participation	2-5
CHAPTER 3.  GREEN PERMIT REQUIREMENTS	3-1
Custom Waiver Permit	3-5
Gems Participant (Tier I)	3-6
Gems Achiever (Tier II)	3-9
Gems Leader (Tier III)	3-14
CHAPTER 4  ADMINISTRATIVE PROCEDURES	4-1
Non-Compliance	4-1
Permit Modification	4-2
Sale or Change of Ownership	4-2
Withdrawal Or Termination	4-3
CHAPTER 5  STAKEHOLDER INVOLVEMENT	5-1
Objectives, Benefits and Challenges	5-1
Types of Techniques	5-2
Attachments
A:	Application Forms and Sample GEMS Achiever Application
B:	EMS References and Worksheets 
C:	Environmental Reporting and Performance Measures References
D:	Stakeholder Involvement Techniques and Implementation
E:	Worksheets for Evaluation of Criteria for Approval
F:	Sample Review Report and GEMS Achiever Permit
G:	Oregon Administrative Rules for Green Permits
H:	List of Acronyms and Terms used in the Green Permit program
Tables and Figures
Figure 1-1.	Overview of the Green Permit Process
Figure 2-1.	Application/Entry Process
Table 3-1.	Summary of Green Permit Requirements
Figure 3-1.	Green Permit Implementation and Approval Process
Table 3-2.	GEMS Permits Criteria for Permit Approval
Figure 3-2 	Permit Administration
Table 3-3.	GEMS Permits Benefits and Incentives
Figure 4-1.	Termination Procedures
Table 5-1.	Menu of Stakeholder Involvement Techniques
Table 5-2.	Summary of Green Permit Stakeholder Involvement Requirements
Table D-1.	Stakeholder Involvement Techniques
Table D-2.	Estimated Costs of Stakeholder Involvement Techniques

ACKNOWLEDGEMENTS
Thank you to the many Oregon Department of Environmental Quality (DEQ) staff and industry and community participants who were involved in shaping the direction of the Green Permits program and the materials for implementing the program, including this guide.  They include:  
Green Permits Advisory Committee and Review Team members: Jeff Allen, Oregon Environmental Council (OEC); Sarah Allender, Port of Portland; Marcia Anderson, Sierra Club; Dorothy Atwood, formerly Emcon, now with The Gauntlett Group; Bob Braun, Ore-Ida Foods; Cory Ann Chang, DEQ; Keith Euhus, Weyerhaeuser Company; Linda Frazier, Sony Disk Manufacturing; William Funk, GPAC Chair, Lewis and Clark College; Greg Goebel, IP Koke; Bob Guerra DEQ; John Haines, Shorebank Pacific; Ray Hendricks, Louisiana-Pacific Corporation; Drew Johnson, Lane Regional Air Pollution Authority; Jeff Lyon, JR Simplot; John MacKellar, DEQ; Kevin Masterson DEQ; Jeff Omelchuck, International Quality Associates; James Ollerenshaw, City of Eugene/Oregon ACWA; John Palmer, US Environmental Protection Agency; Laurie Patterson, formerly with Oki Semiconductor, now with JAE Oregon; Morgan Rider, LSI Logic; Jim Robison, North Portland citizen; Lynn St. Georges, affiliated with The Natural Step, now with Century West Engineering; Beth Woodward, affiliated with the Oregon Environmental Council, now with DEQ; and David Wilson, PacifiCorp.
Pilot Facilities:  LSI Logic Corporation, Gresham facility; Louisiana-Pacific Corporation, Hines facility; PacifiCorp, Medford facility; and OKI Semiconductor, Tualatin facility.  

CHAPTER 1
INTRODUCTION AND OVERVIEW

The Green Permits Program, authorized by the 1997 Oregon Legislature, was developed and is administered by the Oregon Department of Environmental Quality (DEQ) and the Lane Regional Air Pollution Authority (LRAPA) (referred to as “agency” in this document).  Other agencies, such as the U.S. Environmental Protection Agency and local municipal treatment plants, also may be involved in developing the Green Permit.  
The Oregon Green Permits program rewards facilities that go the extra mile to reduce their impacts on the environment and encourages:
•	Creative solutions to environmental issues
•	Systematic approaches to environmental management
•	Meaningful involvement of those interested in a facility’s environmental performance
To meet the needs of a variety of facilities over time, the program allows for graduated improvement in the level of expectations and incentives.  There are two basic types of Green Permits:  a Green Environmental Management System Permit, and a Custom Waiver Permit.  The main differences are:  
•	GEMS Participant Permit for facilities beginning to implement environmental management systems (EMS) to meet and exceed regulatory requirements.  
•	GEMS Achiever Permit for facilities with a more comprehensive EMS that address a wide range of environmental issues, including impacts not regulated by the government.  
•	GEMS Leader Permit for facilities with a formal EMS similar to the ISO 14001 standard, that address issues beyond the immediate facility, demonstrate industry leadership working with suppliers and customers, and consider impacts over the entire life cycle of products and services.  GEMS Leaders encourage environmental stewardship, sustainable development, and efficient use of natural resources.
•	Custom Waiver Permits for facilities that need limited modification of certain regulatory requirements to help the facility perform significantly better than otherwise required.  They do require involvement of the public, but not a comprehensive EMS.  
Requirements for the Green Permits program are set intentionally high, but are not out of reach for committed facilities.
The Green Permits program can benefit:
•	The environment, by addressing a wide range of potential impacts and emphasizing continued improvement and sustainable business principles to reduce long-term environmental impacts.
•	Facilities, from a result-oriented regulatory program, cost savings, operating efficiencies, enhanced relationships with environmental agencies and citizens, and public recognition of their commitment to environmental protection. 
•	The public, by receiving comprehensive information about environmental performance, clear expectations about how facilities plan to address issues, and opportunities to discuss environmental issues with the facility.  
This Guide describes how the Green Permits program works, including expectations and criteria for obtaining a Custom Waiver or GEMS Permit. 
This first chapter provides a brief summary of the program, including how to apply, different types of Green Permits, requirements and incentives for participating, and how to renew a permit or leave the program.  An overview of the program is illustrated in Figure 1-1, found at the end of this chapter.  Subsequent chapters include additional detail about these topics as well as explanations of stakeholder involvement programs and administrative procedures. 
We welcome your questions or comments to help us clarify and improve the program.  This guide may be revised or updated periodically, so please check the DEQ web site for current copies.  
This guide was developed with the assistance of a Green Permits Advisory Committee that included representatives of environmental groups, DEQ and other agencies, environmental management specialists and facilities.  The program is based in large part on experiences gained in working with four facilities that participated in a pilot project: Louisiana-Pacific Corporation, Hines, LSI Logic Corporation, Gresham, Oki Semiconductor Manufacturing, Tualatin and PacifiCorp's Medford facility.  This guide elaborates on requirements of Oregon Administrative Rules governing administration of the Green Permits program, OAR 340-014-0100 through 0165, adopted August 13, 1999.  Rule citations are provided where appropriate.  

Application Process (Program Entry)

To participate in the Green Permits program, all facilities, except those seeking air permit incentives located in Lane County, will apply directly to DEQ.  The latter may apply to LRAPA.  Facilities may use the sample application form (Attachment A) or their own format.  Applicants are encouraged to be creative in providing the necessary information, while clearly explaining how the facility will meet program objectives.  Applications will be due by certain deadlines in order to use limited resources most effectively in processing the Green Permit applications.  
In applying for a Green Permit, each facility should specify the type of Green Permit for which it may qualify.  The facility also should provide basic descriptive information about its operations, as well as its regulatory status, current EMS (if applicable), environmental performance, a plan for involving interested persons in reviewing the facility’s environmental program, and the waivers or other incentives it will request.  
The application will be accompanied by an initial deposit of $5,000 to cover the agency’s cost of review.  In considering the application, the lead agency (DEQ or LRAPA) will review the facility's compliance history and commitment to achieving superior environmental performance and meeting the expectations for the proposed permit.
The agency also will consult with others (EPA, local governments) regarding the facility’s compliance history and the level of effort anticipated if the Green Permit is issued, as well as the feasibility of issuing the incentives.  The agencies may limit the number of Green Permit applications in relation to resources available to process the permits.  Copies of each application will be sent to the EPA to determine whether federal action is needed to implement specific waivers or incentives requested.  
Within resources available, the agency will select facilities that help further the program goals.  After preliminary acceptance, the agency will discuss the estimated Green Permit budget and draft workplan with the facility.  The facility may modify its application based on these discussions.  When the facility and the agencies agree to proceed, the public will be notified of the opportunity to become involved in evaluating the facility's environmental performance and commenting on the proposed permit.  

Permit Development

•	Environmental Management Systems
Facilities that request a GEMS permit must develop and implement an EMS.  Although facilities seeking a Custom Waiver Permit do not need to develop or implement an EMS, they do need to demonstrate the ability to review, monitor, assess and manage environmental impacts related to the waiver.  
The type and scope of the required EMS varies, depending on the type of GEMS permit desired.  For GEMS Participants, only a basic EMS is needed, although the facility is expected to improve its system over time.  For GEMS Achiever and Leader Permits, the EMS should be consistent with or comparable to the international ISO 14001 standard.  GEMS Achiever and Leader Permits will not be issued until the EMS has been fully implemented.
Worksheets will be used to determine whether the EMS meets program requirements, and will be available for public review (Attachment B).  
References to more information about environmental management systems are included in Attachment B.   
•	Incentives
The Green Permits program encourages innovative approaches to environmental protection, allowing modifications to regulatory requirements for facilities that achieve performance significantly better than otherwise required by law.  The type and range of incentives is related to the type of Green Permit desired and the level of performance achieved.  For GEMS Permits, a number of benefits are available:  
•	Single Point of Contact
•	Public Recognition
•	Enforcement Discretion
•	Modifications to Regulatory Requirements
•	Expedited or Flexible Permitting
•	Other Incentives
For Custom Waiver Permits, the main benefit is the waiver itself.  
The agencies will evaluate the feasibility of implementing incentives, incorporating those approved in the Green Permit.  If EPA action is needed to implement certain waivers or other incentives, they will not be included in the permit until the EPA has acted.  
•	Stakeholder Involvement
Facilities applying for GEMS Permits and Custom Waiver Permits need to develop a plan to involve stakeholders — interested and affected members of the public.  Stakeholders are expected to have opportunities to be involved in the process of implementing the facility's EMS and reviewing environmental performance.  They include, but are not limited to immediate neighbors, people in the vicinity and general area, political, civic and other interests, and special interests outside the area.  The scope of suggested and required stakeholder involvement activities varies by type of permit, although all stakeholder involvement plans should contain these basic elements:
•	Identifying people or groups who may have an interest or involvement in the environmental performance of the facility.  
•	Providing information to stakeholders about operations of the facility and its environmental performance, and sharing ideas about possible impacts or concerns.
•	Responding to the concerns of stakeholders in a meaningful way.
•	Discussing potential solutions.
•	Evaluating the effectiveness of stakeholder involvement in fostering a free and open dialogue.
Permit-specific requirements are summarized in Chapters 3 and 5.  Additional information is included in Attachment D.
•	Data Reporting
All Green Permit facilities will be expected to provide information about environmental achievements.  A "baseline" report will be submitted with the application and updated at least annually.  The period for the baseline report is the calendar year prior to applying for the Green Permit.  The application should include information about past performance, current achievements and future projections. The level of detail will vary depending on the type of permit requested.  
The facility is encouraged to take this opportunity to tell its story to the public by providing this information in a user-friendly format.  DEQ will provide application forms, but will allow Green Permit facilities some flexibility in how the information is conveyed, as long as basic requirements are met.  Information in the application and annual reports will be submitted electronically and made available to the public by DEQ.  The facility also is encouraged to provide the public with information about its environmental performance.
The agency will evaluate the data with existing requirements and the specific Green Permit proposal to determine whether the facility’s environmental performance is significantly better than otherwise required by law.  In making this determination, the agency will consider information provided by the facility as well as information on available and emerging technology and data, practices and performance by other similar facilities, and public comments.
Annual reporting of environmental information for Green Permits does not replace reporting required by other regulations and permits unless specified in the Green Permit. Requirements are discussed in more detail in Chapter 3.

Verification

To earn a Green Permit, a facility must achieve environmental performance significantly better than otherwise required by law.  Prior to issuing a GEMS Permit or a Custom Waiver Permit, the agency will verify that the facility has met the requirements for the type of permit proposed.  These include a functioning EMS, with a scope appropriate to the desired GEMS Permit; performance data and measurements demonstrating that the facility will exceed current regulatory requirements; and demonstration that the facility has discussed environmental performance with stakeholders and considered their comments.  Worksheets are included in this guide to help the facility and the agency with the verification process, and will be available for public review prior to issuing the Green Permit.  
For more information, see OAR 340-014-110-through 340-014-125, and Chapter 3.  

Permit Approval

A Green Permit overlays and modifies existing regulatory requirements and permits, specifying exactly which regulations or conditions differ. A facility may request that all agency requirements be combined in a single permit, although this may be more costly to develop than the more typical overlay version.  
Public review will be solicited before final action is taken.  Comments on the draft Green Permit will be encouraged during the facility’s stakeholder involvement activities.  If a facility already has developed a program consistent with this Guide, approval may be relatively quick.  A facility may request technical assistance from agency staff to develop its EMS, public reports, and other elements of the program.
If EPA approval is needed for specific proposed waivers, the Green Permit may be issued without those modifications pending action by the EPA.  In such a situation, the public will be notified that EPA action is pending, and that the Green Permit may be modified to incorporate additional incentives after EPA has taken final action.  
OAR 340-014-0145 contains the complete procedures regarding issuance of a Green Permit.  Refusal of a Green Permit is not subject to appeal, although a decision to grant a Green Permit may be appealed.  

Cost Recovery

The Green Permits program is primarily self-funded using a cost recovery process.  Early in the application process, the agency and the facility will agree on a draft budget and workplan.  The agency will update the cost estimates quarterly, throughout the permit development phase and the duration of the permit.  The amount of time to review the EMS and the technical assistance needed by each facility may vary significantly and affect the cost of administering the permit.
If a facility has a well-developed EMS and already is performing beyond its legal requirements, the amount of time needed to review, develop and issue a Green Permit should be about six months (one month to review the application, three months to develop the permit and conduct stakeholder involvement activities, one month for public notice and comment on the draft permit, and one month to issue the permit) and may be shorter.  However, factors such as the readiness of the facility and the complexity of the waivers requested may prolong the process. 
The cost to the facility will depend on a number of factors, including the maturity of the facility’s EMS and whether it has been certified by a third party, as well as the facility's history of communicating with the public and producing environmental performance reports.
Based on the agency’s experience with its pilot projects, DEQ estimates that a medium-sized manufacturing facility of average complexity with a well-developed EMS may be required to pay $5,000 to $10,000 to process and maintain a GEMS Permit.  This may decrease as the agency gains more experience developing and administering the program and more facilities become ISO-14001 certified.  Annual costs to administer the permit are estimated to be $800/year, but may vary depending on the incentives requested by the facility.  

Renewal and Termination

The duration of Green Permit varies by the type of permit, as described in Chapter 3.  At the end of the term, a Green Permit may be renewed.  A GEMS Participant permit can be renewed only once.  The renewal process is an in-depth verification of the progress the facility has made according to the terms of the Green Permit and the guidelines for the facility’s permit.  This is the most logical time for a facility to choose to exit the program or modify the type of permit, although a facility may apply to do so at any time.  
The agency may downgrade or terminate a permittee at any time it finds that the facility has failed to meet the commitments and requirements of the program, or is found guilty of a criminal violation of environmental laws.  In most cases, the facility will have the opportunity to take corrective action to avoid downgrading or terminating the permit.
More detailed information about modification, renewal and termination procedures is provided in Chapters 3 and 4 and in OAR 340-014-0150, 0155 and 0160. 

Green Permit Case Study: Small Manufacturing Company
For illustration purposes (also see Attachments A and F)	
Acme Paint Manufacturing is a manufacturer of paints and specialty coatings, with 150 employees.  The company currently has an Air Contaminant Discharge Permit from DEQ, and manages hazardous wastes regulated by DEQ and wastewater regulated by their local wastewater treatment service provider.  
The company decided to institute a formal environmental management system (EMS) to address the environmental impacts of its operations and maintain compliance with regulations.  Although Acme has decided to develop an EMS based on the ISO 14001 standard, the company does not plan to seek formal certification at this time.  
Management has identified waste from cleaning equipment as the most significant environmental impact, with truck deliveries and employee commuting also high on the list.  They recently converted most of their products to low-VOC coatings and use water-based coatings to the greatest extent possible.  
Company representatives rarely receive more than two complaints a year from neighbors so they have never formally discussed their environmental performance with the community.
The Green Permits program sounds like something they would like to participate in, but they are not sure whether the costs of joining the program outweigh any benefits that they might receive.  After careful analysis of their needs and a preliminary meeting with DEQ staff these likely benefits and costs were identified: 
Benefits:
•	single point of contact at DEQ to coordinate and combine discussions of air, water and waste issues	•	enforcement discretion, where the agency is likely to the give company the "benefit of the doubt" in resolving issues, allowing use of the EMS to solve the root cause of problems to prevent recurrence
•	consolidated reporting of all required environmental data to one agency in one report, coinciding with the annual EMS review
•	permit flexibility allowing them to modify processes as long as they stay within overall emissions limits and do not discharge new types of pollutants
•	public recognition for their efforts and positive image of their facility in the community
Costs:
•	$5000 deposit and possibly as much as $5,000 in additional funds needed
•	about six months of staff time to work with regulators and stakeholders to develop and obtain the permit
•	new annual report that summarizes progress in meeting objectives and targets as part of the annual EMS review
•	stakeholder involvement, which may take additional staff time and result in comments or concerns that they were unaware of and may be expensive to address
Acme Paint decides that the specific benefits of consolidated reporting, as well as intangible rewards such as improved relations with the agency and community outweigh the potential costs, and applies for a GEMS Achiever Permit.
A copy of Acme’s application form, review report and permit illustrating the type of information that would be expected for such a facility applying for a GEMS Achiever Permit are included in Attachment A and F.	

FIGURE 1-1. Overview of the Green Permit Process

Program Entry

EPA Determines Need for Federal Action on Waivers

Facility May Reapply at a Later Date

No

Agency Determines Which Applications It Can Accept

Yes

Agency and Facility Develop Draft Workplan and Budget

Facility Implements Program Including EMS and Stakeholder Involvement Activities and Responds to Input

Agency Verifies that Facility Meets Criteria for Approval and Determines Appropriate Waivers or Incentives

Agency Evaluates Waivers/Incentives and Develops Draft Green Permit

Public Reviews and Discusses Facility's Environmental Program and Drafts Green Permit

Facility Submits Worksheets, Supporting Materials for Permit Approval

Permit Approval

Permit Development

Facility Submits Application Form

Final Action on Green Permit

Public Comment

Agency Notifies Public Regarding Draft Green Permit

Agency Notifies Public and Encourages Involvement

Agency Identifies Team, Reviews Compliance History, Estimates Resources Needed

CHAPTER 2
APPLICATION AND ENTRY PROCEDURES
This chapter describes how to enter the Green Permits program, including application, workplan development, cost recovery deposits, and public notice and comment. Application procedures also are documented in OAR 340-014-0145.  The application provides an opportunity for the facility to highlight its environmental priorities, efforts and achievements and demonstrate its qualifications for the Green Permits program.  Application requirements may vary depending on the type of Green Permit desired.
Application

•	Submittal Requirements
The application should contain sufficient information for the agency to evaluate the applicant’s intent and ability to meet the criteria for approval of the permit.  Although DEQ has developed an application form (Attachment A), facilities are not required to use it.  The facility may use creative approaches to providing the required information in a way that is easily understandable by the agency and the general public.  
The application processes for the Custom Waiver and GEMS Permits differ somewhat.
GEMS Permit 
The application form included in Attachment A requests the following information.  Facilities that use alternative formats should use this list as a guide.  
•	General Information. Name, location, contact information and business description of facility.  Current regulatory status and requirements, including compliance history and outstanding issues.
•	Environmental Management System (EMS).  A brief description of the EMS and status of key elements, and a summary of environmental policies affecting the facility’s operations.  A copy of the facility's environmental policy should be attached.  
•	Baseline information.  Significant environmental impacts, including current environmental performance for the calendar year prior to applying for the Green Permit or another 12-month period approved by the agency.  Reports should address all regulated environmental and other significant impacts, including emissions or discharges for the calendar year.  Data also should identify performance measures that explain the data in relation to past and future performance.  
•	Performance improvements.  For Achiever and Leader Permits, include information about past efforts to reduce overall environmental impacts must be included.  New facilities may describe methods used to minimize or prevent environmental impacts in the design and operation of the facility.
•	Future projections of environmental objectives.  Describe the scope of the EMS objectives and targets and the program to achieve them.  Demonstrate how environmental performance will be significantly better than otherwise required by law. 
For GEMS Achiever and GEMS Leader applicants, significant environmental impacts targeted for reductions in the past do not necessarily have to be considered for future reductions.  For example, if the facility has accomplished everything technically or economically feasible to reduce solid waste during the past three years, it may now focus on water use. Future targets/objectives could deal with a range of issues such as wastewater discharges, energy usage, and employee commuting trips.  
•	Reporting Plan.  A brief description of a plan for updating the performance report. 
•	Stakeholder involvement plan.  A brief summary of current and proposed future activities, as well as a commitment to implementing a stakeholder involvement process that includes two-way communication. The extent of stakeholder involvement may vary depending on the type of GEMS Permit desired.
•	Requested Waivers or Incentives.  As described in Chapter 3, the facility may request incentives appropriate to the GEMS Achiever or Leader Permit requested.  The facility may propose modifications to regulatory requirements, particularly those that may necessitate a waiver of state or federal laws. 
Custom Waiver Permit
Applications for Custom Waiver Permits and GEMS Permits are similar except in emphases.  For Custom Waivers, performance data are emphasized, while in GEMS permits, the environmental management system is emphasized in conjunction with performance data.  
The application should include the following information:  
•	General Information.  Name, location, contact information, description of facility activities, and regulatory status, including outstanding compliance issues
•	Stakeholder involvement plan relating to the Custom Waiver requested
•	Regulation to be waived.  Describe the regulation and rationale, including the technical basis of the proposed innovation and the facility's proposed program to review, monitor, assess and manage the environmental impacts related to the waiver.
•	Baseline information and future projections including the time needed to achieve projected results.  
•	Environmental performance.  Describe expected future improvements and demonstrate that the Custom Waiver will achieve results significantly better than otherwise required by law
•	Future protection.  Explanation of how the environment will continue to be protected
Refer to OAR 340-014-0110 through 0125 for the criteria for approval and 340-014-0135 for more specific information relating to waivers or incentives.  
•	Agency Review of Applications
Given the need for facilities to exceed existing environmental regulations, it is very important for facilities to show that they will maintain and improve their current performance. For all Green Permits, the agency will consider past performance and future expectations for the facility.
In addition to assessing the facility’s ability to meet program goals, the agency will review its compliance history and will solicit comments from the EPA and affected local governments. 
For a Custom Waiver Permit, the rules specify that the facility shall not have had a criminal violation within the past year. 
For a GEMS permit, for the last three years the facility should have been in substantial compliance with the environmental laws of Oregon and the United States (e.g., no serious violations, per agency Enforcement Procedures and Civil Penalty Rules, OAR Division 12), as well as meeting the following specific conditions:
•	no felony criminal convictions under any federal, state, or local environmental statute
•	no misdemeanor criminal convictions under any federal, state, or local environmental statute within the last five years
•	no such criminal actions pending or under investigation
•	for civil judicial actions, completion of all injunctive relief and payment of penalties, or compliance with any relevant orders
•	for administrative enforcement actions, compliance with all Administrative Penalty Orders or Administrative Orders and payment of any assessed penalties
•	no repeat violations as defined by EPA’s Policy for Self-Policing and Self-Disclosure or similar state policy
Under exceptional circumstances, the agency may waive these compliance history conditions for facilities that demonstrate an exceptional commitment to implementing an EMS and achieving superior environmental performance.  
For companies with more than one site in Oregon, where only one facility is applying for the Program, the agency will review the compliance history of all the facilities, recognizing that there may be different management systems at the various facilities.  This requirement would not extend to facilities outside of Oregon.
A copy of each application will be submitted to EPA Region 10.  EPA also will review the facility’s compliance history and proposed waivers or incentives that require EPA action.  
Applications will be solicited twice per year and must be received by certain deadlines in order to be considered for inclusion in the program.  After reviewing the facility's compliance history, the agency will consider other criteria such as:
•	Regulatory and other interactions with the facility 
•	Maturity of the EMS and ISO certification status
•	Commitment to achieve superior performance
•	Commitment to performance reporting and stakeholder involvement
•	Transferability of the experience (e.g. can the facility's EMS and other program elements be used as a model for other facilities)
•	Agency priorities (e.g. is the facility currently scheduled for permit renewal or located on a priority watershed?)
The agency will accept applications from a range of facilities that may qualify for any of the different types of Green Permits.  
If an application is not accepted, the facility will be able to re-apply at the next opportunity.  

Workplan 

After the application has been accepted, the agency and the facility will work together to estimate the level of effort needed to issue the Green Permit.  The parties will develop a budget and workplan that describe how the facility will meet the requirements for the Green Permit, including the agency’s verification procedures, a proposed schedule and an estimate of administrative costs.  The parties will agree upon the budget, workplans, commitments and proposed incentives prior to processing the Green Permit. The facility may modify its application based on these discussions.  
If the facility and the agencies agree to proceed, the agency will notify the public that the facility is applying for a Green Permit.  Interested citizens or groups will have the opportunity to comment on permit terms, program expectations, the facility’s environmental performance and, if appropriate, the environmental management system.
The facility’s application and the agency’s letter of acceptance should be sufficient demonstration of commitments to the program.  However, if desired, facilities may develop a more formal Memorandum of Agreement (MOA) with the agency, with more specific commitments to activities, expectations and incentives, prior to developing the Green Permit.  Agency efforts to develop an MOA would be funded by the facility’s cost recovery deposit (see below).

Cost Recovery Deposit

Under state law, participating facilities must make a $5,000 deposit with their applications so that DEQ and/or LRAPA can recover the costs of administering the program.  Activities covered by the deposit include conducting the review, negotiating the relevant permit revisions or conditions, responding to public comment, administering the Green Permit, monitoring the provisions of the Permit and the resulting environmental outcomes, and publicizing and conducting public hearings.  Cost recovery will not be applied to routine activities related to existing programs.  
The agency will give the applicant an estimate of the direct and indirect costs likely to be charged, based on the number of hours estimated to complete the tasks.  Some of the agency tasks, such as EMS verification, may be contracted out.  Staff will discuss the proposed budget and workplan with the applicant before determining whether to proceed with the Green Permit.  
During the permit application process and the term of the permit, the agency will provide an accounting of all charges and the amount of the deposit remaining at the end of each month.  Quarterly, the agency will provide updates of estimated future costs.  When the deposit is nearly depleted and additional funds are needed, the agency will collect another deposit.  Throughout the life of the permit, the agency will maintain a three- to six-month deposit, based on estimates of future costs. 
Factors that affect the cost include:  
•	Environmental management system.  If the facility has been certified by a third party as meeting the ISO 14001 standard, minimal additional agency review is necessary.  If it has not been certified, the EMS will need to be verified.  Facilities are expected to follow the required worksheets and guidelines for ISO-comparable EMSs, including on-site audits.
•	Stakeholder involvement plan.  If the facility has had little or no experience with public outreach, agency assistance may be needed.  Additionally, depending on the history of prior relationships between the facility and the community, the agency may need to respond to a number of public inquiries.  
•	Performance data.  Information must be expressed in clear terms so that the public will understand how the facility will achieve performance significantly beyond existing standards.  The agency may provide assistance in developing these reports.  
•	Waivers or incentives requested.  The amount of time needed to obtain, approve or administer some modifications to regulatory requirements, such as those that require federal action, may vary. 
While the facility will incur certain costs of administering the Green Permit, there are many potential benefits for participants that may reduce the overall costs of operation, particularly by streamlining or tailoring regulatory requirements and reducing administrative burdens.  For example, being able to submit all environmental reports to the agency once a year, instead of following multiple schedules may help cut costs.  Ongoing communication with the surrounding community may facilitate future local approval for facility expansions.    

Public Notice Regarding Participation

The agency will inform stakeholders and the general public that the facility has applied for a Green Permit, making available for public review the completed application form and agency materials describing the program.  Initially, the agency will use current mailing lists of those who have previously requested information about proposed permits within the county where the facility is located.  DEQ also will post information on its web page and encourage facilities to do the same.  After the initial notice, those who have expressed interest in participating in the process also may communicate directly with the facility.  

Optional Pre-application Meeting

FIGURE 2-1.  APPLICATION/ENTRY PROCESS

Insufficient Data or Questionable Compliance History

•	General Information
•	EMS Description (GEMS only)
•	Baseline Data
•	Performance Improvements
•	Future Projections of Environmental Objectives
•	Reporting Plan
•	Stakeholder Involvement Plan
•	Requested Waivers or Incentives

Facility Completes Application Materials

Return to Applicant

Agency Determines Which Applications it can Accept

No

Facility May Reapply at a Later Date

Yes

AGENCY AND FACILITY
Develop Workplan, Timeline, Cost Recovery Needs & Letter Agreement (Facility may Modify Application)

AGENCY
Evaluates Compliance History and Regulatory Status and How Facility Will Meet Program Objectives

Agency Evaluates EMS, Performance Data, and Investigates Feasibility of Providing Waivers or Incentives
(see Chapter 3, Figure 3-1)

Public Notice & Opportunity to Participate 

Facility Implements Programs: 
EMS, Performance Improvements, Reporting and Stakeholder Involvement
(see Chapter 3, Figure 3-1)

DEQ action

EPA action

Yes

No

Facility Submits Application and Cost Recovery Deposit

EPA
Determines Need for Federal Action or Waivers

CHAPTER 3
GREEN PERMIT REQUIREMENTS
This chapter describes procedures and requirements for facilities seeking a Custom Waiver or a GEMS Participant, Achiever or Leader Permit.  All participating facilities must demonstrate they can achieve environmental performance significantly better than required by law. They also must show that their overall environmental performance will be improved, with no adverse risk to the public health or the environment.  The definition of "significant" and "significantly" is determined by the agency, after considering input from the facility and stakeholders.
Green Permits issued by DEQ or LRAPA may modify or replace specific provisions of existing permits and regulatory requirements, depending on the request of the applicant.  However, if specific waivers require federal action, EPA review and approval may be needed.
Table 3-1 summarizes the differences between the Custom Waiver and GEMS Participant, Achiever and Leader permits.  Tables 3-3 and 3-4 provide additional information about each GEMS Permit.  A flow chart summarizes the approval and implementation process (Figure 3-1).  A detailed description of program requirements also follows (Figure 3-2). 

Table 3-1: Summary of Green Permit Guidelines 	
Requirements/Incentives	Custom	GEMS Permit	
	Waiver	Participant	Achiever	Leader	
Application/Approval					
Facility Description					
EMS					
Baseline Data					
Projected Results					
Past Achievements					
Compliance History					
Stakeholder Involvement					
EMS 	None	Basic	ISO 14001-comparable	ISO 14001-comparable	
Performance Objectives & Targets	Waiver-related	Regulated pollutants	Regulated and unregulated pollutants 	Sustainable development, Life-cycle	
Reporting					
Performance Achievements					
EMS Update, including Policies and Revised Objectives & Targets					
Stakeholder Involvement Activities					
Compliance Report					
Potential Benefits or Incentives (increasing levels of performance receive increasing benefits)					
Waivers					
Technical Assistance					
Single Point of Contact					
Enforcement Discretion					
Expedited or Flexible Permitting					
Modified Monitoring or Reporting Requirements					
Public Recognition	none	limited		most	
Tailored Regulatory Relationship					
Other incentives requested					
Permit Renewal – renew period/ maximum number of times renewed	5 years, no limit	3 years, once	Up to 10 years, no limit	Up to 10 years, no limit	

Public notice and comment on Draft Green Permit and worksheets

FIGURE 3-1
GREEN PERMIT IMPLEMENTATION AND APPROVAL PROCESS 

Agency responds to comments; takes final action on Green Permit and grants waivers or incentives

Application Process
(see Chapter 2, Figure 2-1)

Implementation
•	EMS: All GEMS facilities develop and utilize EMS
•	Performance Achievements. All facilities establish performance measures and assess progress relative to objectives and targets
•	Stakeholder Involvement. All facilities implement involvement activities
•	Incentives.  All agencies assess feasibility of requested incentives, waivers; initiate action

Documentation
•	EMS: All GEMS facilities complete EMS worksheets
•	Performance Achievements. All facilities demonstrate they meet existing permit requirements and demonstrate superior performance
•	Stakeholder Involvement. All facilities report on status and accomplishments
•	Incentives.  Agency incorporates incentives/waivers in Draft Green Permit

Verification
•	EMS (GEMS Permits only)
•	Facility and agency complete EMS worksheet 
•	Agency reviews EMS worksheets and documents, visits site and verifies EMS meets guidelines 
•	Performance Achievements. Agency reviews current and planned activities and progress and verifies superior performance
•	Stakeholder Involvement. Agency verifies that activities meet permit requirements

Agency staff complete “Criteria for Approval” worksheet

Figure 3-2. Permit Administration

Facility Prepares Annual Report

Agency Reviews Report

Public can Review Report and Continue to be Involved in Stakeholder Involvement Activities

Facility Continually Improves Environmental Performance

The facility continues to implement the EMS and stakeholder involvement activities.  They may modify, renew or terminate the Green Permit.  The agency implements waivers and incentives.

Custom Waiver Permit

 EMS
Facilities applying for a Custom Waiver do not need to implement a formal EMS.  However, they must commit to achieving superior environmental performance, and show that they can review, monitor, assess and manage the environmental impacts related to the Custom Waiver.
 Performance Measures and Data Reporting
Baseline Report
Facilities will provide a baseline report to the agency with their applications, updating this information at least annually.  The report should compare past and current performance related to the Custom Waiver, and show how the Waiver is needed to achieve the predicted results.  
Performance measures should establish a context for the information reported by facilities and  be a means of gauging progress.  Clear, quantifiable data about current or baseline environmental performance should include objectives and targets for improvement and measures to relate data to facility activities.  
For new facilities, the facility should describe methods used to minimize environmental impacts in the design of the facility. 
Annual Reports
This progress report will include information about environmental performance as well as stakeholder involvement activities and comments received.  
 Stakeholder Involvement
All Green Permit facilities, including those with a Custom Waiver, are expected to communicate with stakeholders, i.e., people or groups who are or can be expected to have an interest in the environmental impacts of the facility.  At a minimum, all facilities should develop processes to:
•	provide information about environmental issues, performance, and impacts to stakeholders
•	accept and respond to comments from stakeholders
•	summarize, consider and report comments and responses to the agency
Activities should focus on environmental issues and performance related to the regulation(s) waived.  More detailed information about stakeholder involvement techniques and issues is found in Chapter 5 and Attachment D.
 Incentives
The only incentive associated with the Custom Waiver is the waiver itself.  Facilities with a Custom Waiver Permit are not eligible for the formal public recognition or other incentives provided to GEMS permit holders.  
 Verification
Facilities that receive Custom Waivers are required to improve their performance related to the requirements that have been waived.  In determining whether the predicted environmental results are significantly better than required by law, the agency shall consider:  
•	the technical basis for the prediction, such as reliance on proven technology or use of demonstrably sound scientific principles
•	the facility’s record of compliance with applicable federal, state and local environmental laws and regulations 
•	the facility’s ability to review, monitor, assess and manage the environmental impacts related to the change in regulations
•	predicted results and baseline data
•	the degree of improvement in relation to the time to achieve the predicted results, and the environmental performance currently achieved by the facility
•	potential impacts of the Custom Waiver on human health and the environment
For more information, refer to OAR 340-014-0110.  
 Permit Renewal
A Custom Waiver may be renewed every five years.  Prior to permit renewal, the agency will review whether the facility still meets the criteria and notify the public about the proposed renewal (OAR 340-014-0140).  

Gems Participant (Tier I) 

 EMS
Facilities that are candidates for a GEMS Participant Permit may be in the early stages of developing systematic and proactive approaches to improving their environmental performance.  To qualify for a Participant Permit, they must implement a Basic EMS, committing to better management and reduced use of regulated pollutants and toxic substances.  Many such facilities begin by developing a “process map” to identify inputs and outputs, including pollutants, and potential improvements in operating efficiency.  Toxics Use Reduction plans are also a good starting point.  A Basic EMS is less complex and intensive than an ISO 14001 EMS, providing opportunities and mechanisms for improvement in specific programs or types of impacts (i.e., to air, land or water).  Some key components of a basic EMS include:
•	Planning activities that identify operations and processes that affect the environment, evaluate significant impacts, establish targets to reduce them, and identify and implement activities that achieve targets
•	Integration of environmental management with overall management practices to consider the effect of operating conditions on targeted environmental impacts and periodically review environmental performance
•	Emphasis on continual improvement through specific time schedules and responsibilities for implementation, procedures to monitor compliance and eliminate problems, periodic progress assessments, and performance measurements
•	Ability to verify results easily through documentation or other means
Facilities that are candidates for a GEMS Participant Permit are expected to be in substantial compliance with all environmental regulatory requirements (see Agency Review, Chapter 2).  The objective of their EMS and participation in the GEMS program should be to improve performance significantly beyond these legal requirements, continuing to excel over time. 
Environmental impacts addressed in the Basic EMS should include at least the pollutants, toxic substances, and activities governed by current environmental laws, regulations, permits and legal agreements. 
 Performance Measures and Data Reporting
Baseline Report
Each facility will submit baseline performance information for the calendar year prior to applying for the Green Permit summarizing significant environmental impacts and plans to meet objectives and targets in the EMS.  For new facilities, the facility should describe methods used to minimize environmental impacts in the design of the facility.  Baseline data will be evaluated by the agency to assess the potential to improve environmental performance.  The use of charts, tables and other graphics is strongly encouraged.
Performance measures should be used to establish a context for the data reported by facilities and a means of gauging progress.  Facilities should provide clear, quantifiable data about current or baseline environmental performance, including objectives and targets for improvement.  
Though the agency encourages facilities to take creative approaches to develop their environmental reports, it may be useful to investigate and utilize standards proposed or used by industry groups or others, where appropriate.  Substantial efforts currently are underway by industry groups, non-profit organizations and public agencies to define desirable report contents, standardize the contents of reports nationally, and define a common set of reporting standards.  Additional information about these efforts is included in Attachment C.
Annual Reports
At least annually, facilities will report on their progress, submitting environmental data that describes improvements in performance.  They may utilize their own format in doing so and are encouraged to use creative approaches.  GEMS Participants, will report:
•	An update of their baseline performance report, including any updates to the EMS
•	Performance achievements, including measurements and descriptions of any obstacles encountered and how they were addressed
•	EMS deficiencies and how they were addressed
•	Compliance issues and how they were addressed
•	A summary of stakeholder involvement activities, including materials provided to stakeholders and a summary of comments received and how they were addressed
A comprehensive performance report should not focus solely on positive information.  A balanced report that demonstrates an effort to improve is more credible than a one-sided presentation of only good news. 
This annual reporting of environmental information for GEMS Permits does not replace reporting also required by other regulations and permits, unless modified by the GEMS Permit.
 Stakeholder Involvement
For GEMS Participants, stakeholder involvement activities should focus on ongoing facility activities and performance and include, at a minimum:
•	System(s) to inform stakeholders about facility activities or performance relevant to regulatory environmental requirements.  This may be conveyed through newsletters, media contacts, public notices, and Internet web page or other one-way means of communication and should include a comprehensive overview of facility performance.
•	Opportunities for stakeholders to comment.
•	Procedures to document and respond to comments.
•	Documentation of all involvement activities.
In describing stakeholder involvement activities, the facility should provide information about:
•	The process used to identify stakeholders and solicit their involvement
•	The number and types of stakeholders contacted, and the number who have responded or participated
•	Initial stakeholder involvement activities
•	Feedback received and how it was addressed 
•	Any changes that have been made to the facility’s Stakeholder Involvement Plan
A detailed description of stakeholder involvement techniques and issues is found in Chapter 5 and Attachment D.
 Verification
During the permit approval and renewal stages, the agency will verify that facilities in the GEMS program have met all its requirements, including the scope and characteristics of its EMS, performance measures, data reporting and stakeholder involvement activities.  The verification process also includes a site visit.
The verification worksheets for permit approval include a checklist of required or recommended elements (see Attachment E).  Some worksheets, such as those included in Attachment B, are to be completed first by the facility and then reviewed and supplemented by the agency.  These worksheets and checklists are included as part of the public record for demonstrating that the facility meets the requirements of the permit.  For more information, refer to OAR 340-014-0115.  
 Incentives
The purpose of incentives is to reward facilities that substantially improve environmental performance and encourage others to consider improvements.  The agency may grant a GEMS Participant facility ‘the benefit of the doubt’ in certain regulatory matters if its verified EMS assures good environmental performance.  However, violations that present an imminent threat to human health or the environment may need to be corrected immediately.  Possible incentives for GEMS Participant facilities include:
1.	Technical assistance.  The agency may assist the facility to: develop its EMS, undertake stakeholder involvement activities, comply with existing regulations, and improve its system to assure future compliance and improved performance.
2.	Single point of agency contact.  This person would act as an agency client manager, and may help the facility communicate with the agency to address issues relevant to the GEMS Participant Permit as well as other compliance matters.  The point of contact would have access to agency experts or program managers to help solve specific problems.
3.	Enforcement discretion.  In enforcing environmental regulations, the agency may exercise significant discretion, utilizing a problem-solving approach that focuses on improving the system. The agency’s self-reporting policies would apply.
4.	Public recognition.  The facility may receive limited recognition for its performance improvements, such as listing in Green Permit publications or web pages.
 Permit Renewal
Renewal for all GEMS Participants is contingent on these factors:
•	ongoing implementation and continual improvement of the EMS 
•	implementation of stakeholder involvement activities and reporting
•	continual improvement of environmental performance, including setting and working toward new environmental objectives and targets and performing significantly beyond existing requirements
A GEMS Participant Permit must be renewed within three years, in accordance with OAR 340-014-0140(2).  The agency will verify the facility's EMS at the time of renewal.  As the Participant level is intended for facilities that are newly developing an EMS, only one renewal is allowed.  After one permit cycle or renewal, the facility must apply for an Achiever or Leader permit and utilize a full EMS, or withdraw from the program.  The public will be notified when a facility applies for permit renewal or upgrade.

Gems Achiever (Tier II)

 EMS
GEMS Achievers must implement either an EMS that conforms with the ISO 14001 standard (ISO Conformant), or is “comparable” to the standard (ISO Comparable).  An ISO Conformant EMS is one that is certified by an independent accredited registrar, according to ISO audit procedures.
An ISO Comparable EMS is intended to be more flexible than the ISO standard.  However, an ISO Comparable EMS must achieve the same purposes and perform the same range of functions envisioned in the ISO 14001 standard.  Each clause should be addressed in the facility’s EMS, although all the specific methods required by the ISO standard need not be included.  Worksheets outlining the characteristics of an ISO Comparable EMS are included in Attachment B.  They will be verified by agency staff prior to issuing the draft GEMS Permit, including an on-site evaluation.  
Some of the key components of an ISO-comparable EMS include:
•	Environmental policies
•	Identification of environmental aspects
•	Legal and other requirements
•	Objectives and targets
•	EMS
•	Structure and responsibility
•	Training, awareness and competence
•	Communication
•	Documentation
•	Document and operational control
•	Emergency preparedness and response
•	Monitoring and measurement
•	Nonconformance and corrective and preventative actions
•	Records and audits
•	Management review
The EMS should address all the environmental impacts directly related to the facility, including all business and manufacturing functions.  This will include environmental impacts in addition to those regulated by environmental laws, permits and legal agreements.  The facility must consider the opinions of stakeholders in identifying significant impacts and respond to comments received.  
Many facilities find it beneficial to develop a process flow diagram to identify and analyze potential improvements in efficiency before developing their EMS.
 Performance Measures and Data Reporting
Baseline Report
In the three years prior to applying for their GEMS Achiever permit, GEMS facilities are expected to have reduced environmental impacts or designed their facilities to reduce impacts.  Once in the program, they are expected to continue to reduce impacts related directly to the facility.
Similar to GEMS Participant facilities, GEMS Achievers must submit a baseline performance report.  In addition to having to fulfill all the requirements for Participants, the GEMS Achievers must summarize improvements in performance achieved during the three years prior to applying for the Achiever permit.  The agency will evaluate the data to determine if the facility can be expected to perform beyond existing environmental requirements.  
The ISO Standard for Environmental Performance Evaluation, ISO 14031, provides helpful guidance on environmental performance reporting (see Attachment C).  
Annual Reports
The baseline performance information should be updated annually, describing the status of the facility's EMS, including audit results, accomplishments and deficiencies, and revised objectives and targets.  This should include instances of self-detected non-compliance, the source or cause of the non-compliance, and changes made to prevent recurrence.  Facilities should utilize the performance measures included in the baseline report to compare current and past performance. 
In addition to the basic requirements for GEMS Participants, GEMS Achievers will report:
•	results of periodic external EMS verifications performed at least every three years, as well as associated corrective actions
•	performance data, performance measures, and revised objectives and targets for targeted impacts
•	how the facility addressed or responded to stakeholder input 
•	for each stakeholder activity, a summary of the process, comments, and impact of the results on decision-making
Public Environmental Report (optional)
GEMS Achievers are encouraged to prepare an environmental report for public distribution, providing substantive information about the facility’s environmental aspects and performance.  This report is the opportunity for the facility to tell its story in a clear, understandable manner and should be made available to stakeholders and the general public.  It may be submitted to DEQ in lieu of the Green Permit report, as long as basic reporting requirements are met.  A review of various public environmental reporting programs is included in Attachment C.
 Stakeholder Involvement
Involvement activities should focus on the environmental management system as well as its results.  This includes environmental aspects of the facility’s operations; how significant aspects were determined; objectives and targets to improve environmental performance; ongoing and short-term activities and performance related to environmental regulatory requirements; and related impacts and issues of concern, primarily to the local community.  The stakeholder involvement program should begin prior to issuance of the Green Permit, and continue through the duration of the permit.  
Though stakeholder involvement for GEMS Achievers is expected to focus primarily on environmental performance and activities related directly to the community where the facility is located, this does not preclude involvement from people or groups outside the community.  Communications between facilities and stakeholders should be two-way, more than once a year, and go beyond the scope of activities required of Participants.  They include: 
•	adequate notice of availability of information and convenient opportunities to comment
•	active solicitation of stakeholder review of environmental performance
•	consideration of stakeholder input in decision-making
•	documentation and reports of stakeholder involvement activities, including how they were considered in decision-making processes
 Verification
The EMS for Achievers will be reviewed and verified by the agency at least once every three years.  In assessing the facility's EMS, the agency will consider the following:
•	has the EMS been certified by an independent, accredited registrar?
•	is each clause of the ISO standard adequately addressed by the EMS?
•	has a facility achieved superior performance related to its significant, regulated and unregulated environmental impacts through the following actions:
•	identified environmental impacts of the facility
•	determined those impacts that are most significant
•	established objectives and targets to substantially improve performance for significant impacts
The most significant impacts from the facility should be reduced, including those from at least some non-regulated pollutants.  For example, a facility may adopt water conservation practices or purchase energy efficient equipment.  Improvements should result in performance significantly beyond that required by law. 
An ISO certified EMS typically is subject to a surveillance audit by the certifying agency on approximately an annual basis.  Ideally, an ISO Comparable EMS incorporates an annual surveillance audit conducted by a third party. The results of the surveillance audit may be reported in the facility’s annual report.
For GEMS Achievers, the agency will also evaluate the following questions related to stakeholder involvement.  Has the facility:  
•	actively solicited stakeholder comments and made an effort to engage in meaningful two-way dialogue
•	made a reasonable effort to incorporate the results of stakeholder involvement in the decision-making processes;  while the facility may not always follow the advice of stakeholders, this requirement may not be met if there is no apparent effect on any facility policies or procedures or if there is a pattern of stakeholder complaints about the process,.
•	summarized and evaluated the results of stakeholder involvement processes
For more information, refer to OAR 340-014-0120.  
 Incentives
A GEMS Achiever has demonstrated superior environmental performance on-site, including implementing a comprehensive and effective EMS.  These facilities can propose an appropriate package of incentives for discussion with the agency.
Incentives available to GEMS Achievers are intended to motivate qualified facilities to participate at this level.  They include those provided for GEMS Participants, as well as additional benefits that provide substantial regulatory flexibility, including potential waivers of conditions or expediting of environmental permits.  GEMS Achievers also are publicly recognized for their commitments and performance.  Incentives apply only to the permitted facility and not to others owned or operated by the same company, including public recognition. 
GEMS Achievers are eligible for all GEMS Participant incentives, including:
•	Technical assistance.  Help the facility to: develop its EMS, undertake stakeholder involvement activities, address regulatory implications of pollution prevention options, and improve its system to assure future compliance and improved performance.
•	Single point of agency contact. This person would act as an agency client manager, may help the facility communicate with the agency to address issues relevant to the GEMS Achiever Permit as well as other compliance matters.  The point of contact would have access to agency experts or permit managers to help solve specific problems.
•	Enforcement discretion.  In enforcing environmental regulations, the agency may exercise significant discretion, utilizing a problem-solving approach that focuses on improving the system. The agency’s self-reporting policies would apply.  
•	Public recognition as an Environmental Achiever.  This may include a plaque presented by the agency director, advertisements in the local paper announcing the facility's status, inclusion in Internet web site information or other means of publicizing the facility’s accomplishments.  
GEMS Achievers may apply for the following additional incentives; some may require additional time and interagency coordination to implement.
•	Special services related to regulatory requirements, including:
•	Streamlined reporting for the EMS and other reporting requirements:
•	Consolidate compliance reporting for all applicable programs (air, water, waste) into a comprehensive periodic report that coincides with review of the EMS. 
•	Use EMS documentation and reporting to satisfy other reporting requirements. 
•	Integrated and managed public involvement efforts using a single stakeholder involvement program, rather than multiple public review processes for individual permits.
•	Integrate public review requirements for GEMS and other permits in a single process.
•	Involve stakeholders to fulfill requirements for other permits.
•	Use of EMS Program requirements to fulfill certain regulatory requirements, such as spill prevention planning or Resource Conservation and Recovery Act (RCRA) training.
•	Regulatory flexibility
•	Expedited permit application review of target timelines.
•	Negotiate a maximum time period for permit review.  Depending on the complexity of the application, public review processes and other factors, the agency will commit to specific time schedules.
•	Grant early authorization to proceed with construction projects, presuming the facility has proactively anticipated environmental impacts, assured continued environmental protection, and discussed the proposal with potentially interested or concerned parties through its stakeholder involvement process prior to construction.
•	Flexible permit conditions
•	Grant extended permit intervals if supported by EMS elements that monitor and address relevant environmental conditions, improvements in environmental control or pollution prevention technologies.
•	Incorporate pre-approved options in permits to facilitate changes in manufacturing, provided they do not exceed overall permit limits.
•	Develop a comprehensive operating permit that replaces multiple existing or required permits.  This could reduce overlapping requirements and simplify the permitting process.
•	Develop permit conditions that will not change over the life of the permit, unless certain conditions warrant permit review (e.g., major changes to the manufacturing process that result in significant changes in emissions or discharges).  
•	Utilize umbrella or bubble permits to define total facility limits rather than individual limits for each point of generation.  Possible techniques include:
•	Use procedures comparable to Plant Site Emission Limits for air quality
•	Define the “stationary source” as the whole facility
•	Allow pollution prevention or control initiatives for one process to offset emissions elsewhere, assuming the overall level of environmental protection is maintained within a defined geographic area.
Some specific incentives, such as a bubble permit, may require further enhancement of the EMS.
•	Modification of monitoring and reporting requirements
•	Modify specific compliance monitoring and reporting requirements to implement monitoring processes that are consistent with the EMS.  The facility may need to demonstrate that the results are better than those achieved under existing law, and that modified procedures are reliable and accurate.
GEMS Permit Waivers cannot result in more significant adverse impacts on the environment, as determined by the agency with input from the facility and stakeholders.  
If incentives include a waiver of federal laws, the GEMS Permit term cannot be longer than allowed under those laws (see OAR 340-014-0140).  If the permit includes a waiver of state or local regulatory requirements, the term of the GEMS Permit cannot be more than twice the term of the existing regulation(s).  For example, if a law requires annual monitoring, the waiver cannot allow monitoring less frequently than every other year.
 Permit Renewal
Permits for GEMS Achievers can be for up to ten years, with an opportunity for the agency to reopen the permit if warranted by significant changes in environmental conditions, laws or rules.  There is no limit to the number of times an Achiever Permit can be renewed.

Gems Leader (Tier III)

 EMS
The general EMS requirements for a GEMS Leaders are the same as those for Achievers.  Similar to Achiever facilities, prior to applying for a GEMS permit, GEMS Leaders are expected to already have reduced environmental impacts.  Once in the program, they are expected to continually strive to reduce environmental impacts and improve performance significantly beyond that required by law.  
The primary difference between GEMS Achievers and Leaders is that the latter are expected to address a broader scope of impacts.  This could mean reducing effects on the environment over the life cycle of their products and services, including the supply chain for raw materials and energy; usage of their products and services by others; and their eventual disposal or reuse.  GEMS Leaders are expected to set an industry example in implementing sustainability principles in activities, products and services. 
Benefits include greater recognition, maximum flexibility, and an environmental program focused on outcomes and tailored to the facility's needs.  
 Performance Measures and Reporting
Reporting requirements are the same as for GEMS Achievers, though they also should address information about life cycle impacts and sustainability.  GEMS Leaders are strongly encouraged to produce optional public environmental reports.  Performance measures included in the report should compare the facility's current performance with its previous efforts and, if possible, with similar facilities and external standards. 
 Stakeholder Involvement
Similar to the EMS, related stakeholder involvement should focus on the broad impacts of facilities, considering the life cycle of facility products and the long-term impacts of activities.  This is likely to involve a combination of interested and affected parties from within and outside the community in which the facility is located.  As with GEMS Achievers, the focus should be on meaningful two-way communication.  General requirements are the same as for Achievers, with these primary differences:
•	More frequent involvement.
•	Broader focus on the impacts of the facility and its product(s) over their full life, as they relate to environmental performance and requirements.
As an environmental leader, the facility engages in a partnership with the agency in promoting superior environmental performance within the community, their industry, and among suppliers and customers.  Leaders should set an example and encourage other facilities to adopt sustainable principles.
 Verification
Procedures are essentially the same as for GEMS Achievers.  The primary difference is in the scope of the EMS and stakeholder activities undertaken by the facility.  As noted above, a GEMS Leader is expected to set an industry example by improving environmental performance over the life of its products, services and processes, and emphasizing sustainability in these efforts.  Consequently, the agency will determine whether the facility has identified and reviewed significant impacts beyond its boundaries related to the following:
•	Material extraction and transportation
•	Suppliers and customers
•	Use and eventual disposal or reuse of products
•	The industry as a whole
•	The facility’s role in the community
The agency will assess whether the facility has thoroughly analyzed environmental impacts beyond the facility to determine those that have the most significant effect on the environment, and also that the facility’s EMS incorporates objectives and targets to address significant impacts.  The agency also will assess whether the facility has made significant efforts to assure results that represent superior performance.
The agency will review stakeholder involvement activities by GEMS Leaders to assess whether the facility has, in addition to Achiever requirements:
•	Considered a broad range of issues related to the life cycle of their products and services in identifying stakeholders.
•	Engaged stakeholders in meaningful two-way dialogue about these issues and impacts.
For more information, refer to OAR 340-014-0125.  
 Incentives
Incentives for GEMS Leaders may include those provided for Participant and Achiever facilities, as well as a streamlined regulatory relationship with the agency.  In partnership with the facility, the agency will seek to understand the facility’s special operating and competitive environment, tailoring permits and other requirements to complement the facility’s unique characteristics.  In addition, facilities will receive formal public recognition of their status and accomplishments.  Possible incentives for GEMS Leaders include:
All GEMS Participant and Achiever benefits. 
•	Technical assistance.  Assist the facility to: develop its EMS, undertake stakeholder involvement activities, comply with existing regulations, and improve its system to assure future compliance and improved performance.
•	Single point of agency contact.  This person would act as an agency client manager, may help the facility communicate with the agency to address issues relevant to the GEMS Permit as well as other compliance matters.  The point of contact would have access to agency experts or permit managers to help solve specific problems.
•	Enforcement discretion.  In enforcing environmental regulations, the agency may exercise significant discretion, utilizing a problem-solving approach that focuses on improving the system.  The agency’s self-reporting policies would apply.  
•	Public recognition as an Environmental Leader. This could include a plaque presented by the Governor, advertisements in local newspapers announcing the facility's Leader status, and Internet web site information about facility achievements, a banner that can be displayed by the facility, and/or other means of publicizing the facility’s accomplishments.  
•	Special services related to regulatory requirements, such as streamlined reporting, integrated and managed public involvement, and use of EMS Program requirements to fulfill certain regulatory requirements.
•	Regulatory flexibility through means such as expedited permit application review, flexible permit conditions, or modification of monitoring and reporting requirements
In addition, the facility may receive these incentives:
•	Tailored regulatory relationship to help meet program commitments. For example, the agency could design flexible permit packages for multiple qualified facilities (such as in a supplier-customer relationship).  
As with GEMS Achievers, permit waivers cannot result in more significant adverse impacts on the environment, as judged by the agency with input from the facility and stakeholders. 
As with GEMS Achievers, if incentives include a waiver of federal laws, the GEMS Permit term cannot be longer than allowed under those laws (OAR 340-014-0140).  If the permit includes a waiver of state or local regulatory requirements, the term of the GEMS Permit cannot be more than twice the term of the existing regulation(s).  For example, if a state rule requires annual monitoring, the waiver cannot allow monitoring less frequently than every other year.
 Permit Renewal
The term for a GEMS Leader permit is the same as for the Achiever, e.g., as long as ten years, with no limit on the number of times a Leader Permit can be renewed.  The agency may review the permit at any time if there are significant changes in environmental conditions, laws or rules.  At the time of each renewal, the agency will verify that the facility continues to meet its permit requirements and notify the public before final action is taken.

Table 3-3. GEMS Permits Criteria for Permit Approval	
Program Elements	GEMS Participant (Tier I, limited to 6 years)	GEMS Achiever (Tier II)	GEMS Leader (Tier III)	
Environmental Management System
Characteristics	Implemented a Basic EMS that focuses on environmental impacts, helps integrate environmental and business functions, evaluates continuous improvement, and supports verification.
Facility is committed to maintaining and exceeding regulatory compliance; utilizing pollution prevention definition and hierarchy in developing objectives, targets and environmental management program; and continually improving. 	Implemented, and will maintain and improve a comprehensive EMS that meets the ISO 14001 standard, or its purpose and intent, and supports verification
The facility is committed to maintaining and exceeding regulatory compliance; utilizing pollution prevention definition and hierarchy in developing objectives, targets and environmental management program; and continually improving. 	
Scope of Targeted Environmental Impacts 	Evaluated environmental impacts and set objectives and targets to improve management and reduction of regulated pollutants.	Environmental impacts, objectives, targets and performance are related to significant, site-based impacts, considering both regulated and unregulated environmental pollutants and other environmental impacts.	Meet expectations for GEMS Achievers and demonstrate industry leadership in applying sustainability principles over the life cycle of activities, products and services; could include improvements by suppliers and customers, including use, reuse or disposal of products.  	
Baseline
Performance Reporting 

	Submitted a baseline performance report describing:
-Environmental policies affecting operations;
-Environmental information regarding significant environmental impacts; and 
-The environmental program to achieve desired results.	Same basic reporting requirements as for GEMS Participants, as well as:
- Performance measures and performance achievements, including a description of the environmental program that will achieve the results described above.  
In addition, discussion of issues and impacts is applied to wider range than for GEMS Participants, as described under “scope” above.	
Annual
Performance Reporting 	Developed a plan to annually update baseline performance data, including:   
-Performance achievements, and a description of any obstacles encountered and how addressed;
- Revised objectives and targets for targeted impacts, modified as appropriate by stakeholder feedback
-EMS deficiencies and how addressed; 
-Compliance issues and how addressed; and 
-Stakeholder involvement activities and input received from stakeholders.  	Same basic reporting requirements as for GEMS Participants, but applied to wider range of impacts and issues described above. 
Achievers and Leaders are strongly encouraged to produce a user-friendly public environmental report.	
Performance Measures	Established performance measures to compare past environmental performance and future improvements.
	
Performance Achievements (past)	Not required	Demonstrated that the facility has reduced overall environmental impacts in the three years prior to applying for the GEMS permit; for new facilities, documented methods used in the design of the facility to minimize environmental impacts.	
Performance Achievements (future)	Developed an environmental program to achieve results significantly better than otherwise required by law, demonstrated by projected reductions in environmental impacts related to targeted environmental impacts; provided evidence that the reductions will be achieved.	

Table 3-3 Continued	
Program Elements	GEMS Participant (Tier I, limited to 6 years)	GEMS Achiever (Tier II)	GEMS Leader (Tier III)	
Stakeholder Involvement	Developed a plan for stakeholder involvement to provide information to the public regarding environmental performance on at least an annual basis, including a mechanism for receiving and responding to comments.  
	Developed a program for stakeholder involvement appropriate to the scope of the EMS; implemented and continues to conduct activities that provide for two-way dialogue about environmental performance; has a mechanism for receiving, considering and responding to comments received.  The facility shall:  
- Encourage public inquiries and comments regarding environmental performance;
- Provide mechanisms to discuss environmental policies, annual performance reports, environmental aspects and impacts, and objectives and targets; and
- Consider results of stakeholder involvement in decision-making; respond to comments received.

The main difference between the Achiever and Leader permit requirements is in the scope of the audience targeted for outreach and range of impacts discussed.  	

Table 3-4. GEMS Permits Incentives or Benefits	
Program Elements	GEMS Participant (Tier I, limited to 6 years)	GEMS Achiever (Tier II)	GEMS Leader (Tier III)	
Incentives	All GEMS Permittees would be eligible for the following incentives:  
•	A single point of contact (team leader) for agency assistance on environmental issues;
•	Technical assistance on EMS development, compliance issues and stakeholder involvement;
•	Modified enforcement response procedures, allowing self-reported compliance issues or those discovered during inspections to be corrected in a way that focuses on improvements to the environmental management system.  
	
Recognition	Limited public recognition as a participant in the GEMS program.  	Public recognition as a GEMS Achiever, such as recognition at conferences or a Director’s Award	Public recognition as a GEMS Leader, such as recognition at conferences or a Governor’s Award, plus additional publicity.  
 	
Regulatory Waivers 	Not eligible	Streamlined permitting, regulatory flexibility, or other waivers or incentives tailored to the facility’s needs.  Increasing levels of performance would receive more substantial regulatory benefits.  	Achiever incentives, and if appropriate, incentives to tailor environmental regulation to a group of facilities, such as multiple corporate facilities within the state, or multiple facilities with a common supplier-customer relationship.	

CHAPTER 4
ADMINISTRATIVE PROCEDURES
This chapter includes information related to the details of administering the Green Permits program, including non-compliance issues and procedures, permit modification, change of ownership and termination.  
Non-Compliance

•	Systems-Oriented Response
Facilities with a GEMS Permit may be able to address compliance issues through improvements to their environmental management systems.
The Custom Waiver Permit confers no special benefits related to enforcement. Facilities are expected to continue to follow appropriate compliance procedures.  
•	Facility Review and Reporting 
Facilities with GEMS Permits are committed to achieving environmental results beyond those required by law.  Through their EMS, they continually review environmental performance and compliance with applicable regulations.  All non-compliances should be promptly corrected.  Procedures for reporting such occurrences include the following:  
•	The facility should notify the agency immediately of any violations that require immediate notification under existing regulations.  Other violations that must be reported, though not necessarily immediately, should be communicated to the agency in the facility’s annual progress report which also is made available to the public.  
•	Permittees should describe in their annual reports any problems with their facilities’ EMS that allowed violations or potential instances of noncompliance to occur (e.g., insufficient training or inspection procedures in one area), as well as changes they are making to the EMS to prevent recurrence (e.g., more frequent or better training). The agency’s response will be based on the type or severity of the noncompliance.
DEQ’s self-reporting policy allows the Director to reduce or eliminate civil penalties for facilities that are implementing an EMS and meeting their commitments to perform beyond legal requirements. However, penalties may not be completely waived for facilities if they receive a clear economic benefit from non-compliance.  Also, facilities that experience serious violations and do not report them may not benefit from this policy.
•	Agency Discovery
Compliance inspections of GEMS Permit facilities may be conducted as usual.  However, in some instances, due to the nature of the EMS, facilities with a GEMS Permit may be considered low-risk and not scheduled for routine compliance inspections.  If the facility is properly implementing its EMS, auditing it periodically, publishing an annual environmental performance report and routinely discussing environmental performance with stakeholders, it may require less oversight from the agency.  However, the agency may inspect the facility at any time, and may visit the site to verify that the facility continues to meet its Green Permit requirements.  
To coordinate communications between the facility and various agency staff and facilitate action on environmental issues of concern, facilities with a GEMS Permit will have a single point of contact in the appropriate regional agency office.  The agency contact will be trained in EMS audit procedures and other aspects of the Green Permits program.  
Permit violations discovered through routine inspections or investigations of complaints will be investigated by the agency to determine the magnitude of the violation and appropriate response.  The response will focus on the EMS, how the root cause will be addressed, and corrective actions.  
A summary inspection report will be forwarded to the agency contact for the facility prior to sending it to the facility.  The agency contact will send a letter to the facility requesting an analysis of the EMS to determine why the violation was not discovered, and requesting that the EMS be modified to prevent recurrence of the problem.  The facility also will need to take additional corrective and preventative actions to avoid similar violations in the future and report to the agency how the issue was resolved.  

Permit Modification

At any time, GEMS Permit facilities may apply for a different type of GEMS Permit or to modify its terms or conditions.  Custom Waiver facilities also may apply for modifications at any time (see OAR 340-014-0155).
At this time, the agency will determine whether the proposed change is minor or significant.  An example of a minor modification is a request for a different reporting date.  Requests for additional waivers are considered significant modifications.  
If the proposal is minor, the agency will notify the public of the facility’s request, allowing 30 days to provide written comments. 
If a facility requests a significant modification or if, within 30 days after issuing a minor modification or public notice, the public suggests the change be considered significant, a second public notice and comment period also will be conducted once the proposed changes or new permit is drafted.  All comments must be submitted in writing within 30 calendar days after the notice is issued.  The agency may conduct a public hearing if one is requested.
Before issuing the modified Green Permit, the agency will consider all public comments it receives for either minor or significant changes.  The agency will respond appropriately, making its response available to the facility and those who commented.  
The agency may propose to modify a facility’s GEMS Permit if the facility no longer meets the requirements of its GEMS Permit but may qualify for a different type.  The facility will have the opportunity to correct any deficiencies prior to final action by the agency, similar to the procedures for termination described below. 

Sale or Change of Ownership

Custom Waiver Permits and GEMS Permits are issued to the official applicant of record.  Facilities that change ownership may apply to transfer the permit.  If they do not, the permit will be terminated.  The new owner or operator must apply to transfer at least 60 days prior to the sale or transfer of the facility, demonstrating that they can continue to meet the requirements of the Custom Waiver or GEMS Permit.  After the agency receives an application for change of ownership, it will determine whether the proposed transfer constitutes a minor or significant modification, following the procedures described above regarding public notice and comment for permit modifications.  For more information, refer to OAR 340-014-0160(7).

Withdrawal Or Termination

As the Green Permits program is voluntary, facilities may withdraw from participation at any time.  Upon termination, any other state or federal permits that have been modified through participation in the program will have the underlying or original permit conditions reapplied.  This may require the facility to reapply for the original permit(s).
If a participating facility fails to meet any condition of the Green Permit, upon notification, the agency can terminate the permit in whole or in part.  Reasons for termination may include the following:
•	failure to develop an annual performance report and make it available to the agency and the public in a timely fashion
•	failure to meet the criteria for participation in the program
•	conviction of a criminal violation
•	failure to remedy a violation related to the EMS within the time required
•	commission of a violation that poses a clear and immediate danger to the public health and safety or to the environment, or repeated violations indicating a serious deficiency(s) in the EMS
Under such circumstances, the agency will notify the facility and provide it with a reasonable period of time to correct the deficiencies.  However, if any of the above conditions exist and the agency finds that there is a serious danger to public health or safety, it may suspend or revoke a Green Permit immediately.
After the agency has notified the facility and given it the opportunity to correct one or more deficiencies, the facility may choose to correct the problem, withdraw its application, or apply for a more appropriate type of permit.  If the deficiency prevents the company from meeting a related permit condition, the underlying or preexisting permit conditions may be reimposed.  
A permittee shall have 30 days to apply for reinstatement of any affected permit.  An application filed during this period shall be considered timely for renewal under the terms of the administrative rules governing the Green Permits program described in detail in OAR 340-014-0160.

Modification

Agency determines failure to perform

Facility notified with opportunity to correct

Facility submits corrective action report 

Termination

Continuation

Agency review 

FIGURE 4-1. TERMINATION PROCEDURES

Apply/ reapply for new permit

Hearing and decision by Environmental Quality Commission

Appeal (if requested by facility)

CHAPTER 5
STAKEHOLDER INVOLVEMENT
This chapter provides general information about the objectives, benefits and challenges of a stakeholder involvement program, a brief description of involvement techniques and a summary of requirements for each type of Green Permit.  Attachment D contains more detailed information about how to identify stakeholders, strengths and weaknesses of specific techniques, keys to implementation and how to evaluate effectiveness and take corrective action when needed. 

Objectives, Benefits and Challenges

Stakeholder involvement gives facilities an important tool to communicate their environmental performance and achievements to the public.  It is a systematic process of dealing with people, other than employees or management, who do not ordinarily have an opportunity for direct involvement with a facility.  At its best, it results in meaningful, two-way communication where the company learns about community concerns and the community gains an understanding and appreciation of the company’s goals, accomplishments and constraints.  The “community” as used here refers to all those who may have an interest in the company’s environmental performance.  It includes but is not limited to immediate neighbors, people in the vicinity and general area, political, civic and other interests, and special interests outside the area.  Though each facility has its own unique stakeholder community, all stakeholder involvement contains these basic elements:
•	identifying people or groups who may have an interest or involvement in the environmental performance of the facility 
•	ascertaining community perspectives and values in regard to environmental issues addressed by the facility
•	providing information about operations of the facility and its key environmental impacts, priorities, objectives and performance relative to goals and regulations, as well as sharing ideas about possible impacts or concerns
•	responding to the concerns of stakeholders in a meaningful way
•	discussing potential solutions
•	evaluating the effectiveness of stakeholder involvement

Stakeholder involvement activities for Green Permit facilities help: 
•	address requirements for internal and external communications required by the ISO 14001 EMS standard
•	identify community perceptions about environmental impacts and performance and potential problems and issues before positions are polarized and entrenched
•	frame and evaluate issues and problems from new perspectives, allowing for innovative, collaborative problem solving
•	confirm that environmental performance exceeds legal requirements
Stakeholders may not always agree with the facility’s environmental programs and the company may not always agree or accede to a stakeholder's wishes.  There may be times to respectfully “agree to disagree.”  It is important that the process encourage a free and open dialogue.
The stakeholder involvement program is expected to continue throughout the duration of the Green Permit, although the scope and frequency may vary.  Activities should be reported in the facility's annual Green Permit report.  
•	Benefits
Stakeholder involvement can be advantageous to facilities and stakeholders alike:
•	Provides early warning signals to facility managers about community concerns and potential problems or issues and may help identify some that the facility was not previously aware.
•	Broadens community awareness about the facility and its efforts to address environmental matters.
•	Builds relationships and establishes a level of trust with the community conducive to collaborative, mutually beneficial efforts above and beyond the Green Permit program requirements.

•	Challenges
Stakeholder involvement is not without risks:
•	Confidentiality.  There may be valid apprehension about the possibility that sensitive information will be revealed to competitors or taken out of context.  Early in the process, the company should determine the level of confidentiality necessary and share that with stakeholders.  It is important, however, that confidentiality policies are not perceived to be unduly excessive or evasive.
•	Unpredictability.  No one can know with certainty how people will react to a particular set of circumstances.  However, an environment of mutual respect and openness can set the stage for greater trust and meaningful long-range relationships.

Types of Techniques
•	
A variety of tools can be used to involve stakeholders.  They include:
•	Advisory Committee.  A range of stakeholders who meet regularly at a time convenient to all parties.
•	Briefing.  Meeting with one or more stakeholders or the media.
•	Brochure.  Publication produced by the facility or company, written in laypersons’ terms with good graphics.
•	Correspondence.  Written response from the company to comments from stakeholders/ public.
•	Direct Mail.  Notices, reports or other materials mailed to homes or businesses.
•	Expert Review Panel. A group of independent, qualified reviewers, typically convened for a single meeting or other event, who provide technical and detailed review of specific environmental program elements.
•	Facility Tour.  Orientation to plant activities or processes for invited stakeholders/public.
•	Focus Group.  Small group (10 – 20) discussion of people chosen specifically to represent certain populations led by a professional facilitator.
•	Media Contacts.  Written releases, briefings or interviews.
•	Newsletter.  Regular publication that provides ongoing information about the public involvement process.
•	Open House/ Community Fair.  One-day event over a period of time (usually 4 to 6 hours) to provide information and receive comments from a disparate audience.
•	Personal Interviews.  Individual discussions with specific stakeholders.
•	Public Display.  Information placed in community gathering places such as libraries, grocery stores and banks.
•	Public Meeting.  Opportunity to meet with general or specific audiences to present information and answer questions.
•	Public Workshop.  Event that includes interactive exercises to address/solve specific issues/ problems.
•	Questionnaire.  Unscientific survey of general public or selected individuals or groups.  (Respondents are not randomly selected.)
•	Report.  Written account of a facility’s environmental programs and accomplishments.  The tone should be neutral, rather than promotional.
•	Scientific Survey.  Random sample survey, usually administered by phone by trained interviewers. 
•	Speakers Bureau.  Presentations by facility personnel or representatives to selected groups.
•	Task Force.  Similar to an advisory committee, but usually charged with accomplishing specific mission in specific amount of time.
•	Web Page.  Graphic display of information available to computer users with access to the Internet.  Web sites also may be used to facilitate communication by e-mail and to provide an opportunity to review and comment on specific issues or documents.
Table 5-1 outlines the potential of each technique to meet specific objectives, based on the facility’s goals and constraints.  Table 5-2 summarizes stakeholder involvement requirements for each types of Green Permit.  Involvement techniques, as well as keys to implementing, evaluating and improving a successful stakeholder involvement program are described in more detail in Attachment D.

Table 5-1. Menu of Involvement Techniques	

	Permit	Objective	

Technique	Custom Waiver	GEMS Participant	GEMS Achiever	GEMS Leader	Maximum Exposure	Reach Specific Groups	Promote Two-way Dialogue	Minimum Cost	Minimum Time	Minimum Personnel Effort	Broad Public Input	Specific Public Input	Generate New Ideas	Build Support	Resolve Conflicts	Help Set Goals	Public Access/Convenience	
Advisory Committee																		
Briefing																		
Brochure																		
Correspondence																		
Direct Mail																		
Expert Panel																		
Facility Tour																		
Focus Group																		
Media - General																		
Media - Specific																		
Newsletter																		
Open House/Community Fair																		
Public Display																		
Public Meeting																		
Public Workshop																		
Questionnaire																		
Report																		
Scientific Survey																		
Speakers Bureau																		
Stakeholder/Personal Interviews																		
Task Force																		
Web Page																		
 = Strong potential to reach objective  = Some potential to reach objective  = Unlikely to reach objective

Table 5-2.  Summary of Green Permit Stakeholder Involvement Requirements	
Tier	GEMS Participant & Custom Waiver	GEMS Achiever	GEMS Leader	
Primary objectives	•	Inform stakeholders about activities related to environmental performance and requirements, at least annually
•	Consider and respond to stakeholder comments
•	Document involvement efforts	•	Inform stakeholders about activities related to environmental performance and requirements; these include significant regulated and unregulated environmental impacts related to the facility and objectives and targets for improving performance
•	Engage in regular, substantive two-way communication with stakeholders
•	Consider results of involvement in decision-making
•	Document involvement and effect on the facility’s EMS	•	Inform stakeholders about activities related to environmental performance and requirements; these include life cycle and sustainability impacts of activities, products and services and objectives and targets for improving performance
•	Engage in frequent, substantive two-way communication with stakeholders
•	Consider results of involvement in decision-making
•	Document involvement and effect on the facility’s EMS 	
Techniques to achieve objectives	•	Annual performance report, public meetings, media contact, direct mail, web page, brochures or briefings
•	Assigned facility representative or facility “hotline”
•	Summary of comments and responses	•	Public workshops, stakeholder interviews, questionnaires, advisory committee, task force or speakers bureau
•	Process for considering results of involvement in decision-making
•	Summary of results of stakeholder activities and impact on the facility’s EMS	•	Public workshops, stakeholder interviews, questionnaires, scientific surveys, advisory committee, task force or speakers bureau
•	Process for considering results of involvement in decision-making
•	Summary of results of stakeholder activities and impact on the facility’s EMS	
Primary focus of involvement 	Facility activities related to environmental requirements and performance	Facility activities related to significant regulated and unregulated environmental impacts	Long-term environmental impacts related to the full life cycle of products or services produced and sustainability goals