**06/09/2007Agricultural Research Service**

**Environmental Management System**

# Self-Declaration Protocol

**[Purpose]{.underline}**: This document establishes the policies and
procedures for Environmental Management System (EMS) Self-Declaration
within the Agricultural Research Service (ARS).

**[Background]{.underline}**: Executive Order (E.O.) 13423,
"Strengthening Federal Environmental, Energy, and Transportation
Management," which supersedes E.O. 13148, requires "appropriate
facilities," to develop and implement an EMS by December2008. ARS
Headquarters, Area Offices and Locations have been designated
"appropriate facilities" and are required to have an EMS in-place.

An important component of a successful EMS is self-declaration. An EMS
Self-Declaration is a public statement that a facility conforms to
nationally accepted standards. Self-declaring an EMS can help assure
stakeholders, the general public, and surrounding communities, of our
commitment to sound environmental management. Additionally, many States
have recognition programs that provide increased regulatory flexibility
for facilities with an accredited EMS.

**[Policy]{.underline}**: It is ARS policy that each facility certify it
has self-declared their EMS utilizing Agency or other adopted standards.
Facilities in non-conformance with a requirement(s) will develop an
action plan and correct the deficiency(s) in a timely manner.

**[Roles and Responsibilities]{.underline}**: EMS roles and
responsibilities are in ARS Manual 230.0M, "Safety, Health, and
Environmental Management Program." Additional EMS guidance can be found
in the "ARS EMS Implementation Guide". Both documents are located at the
ARS Administrative and Financial Management webpage at
[http://www.afm.ars.usda.gov/]{.underline}.

**[ARS Standards:]{.underline}** The Agency has developed the attached
Self-Declaration Checklist so that a facility may certify that its EMS
meets ARS standards. At this time, the checklist is not inclusive of all
EMS requirements under the E.O. In the spirit of continual improvement,
the checklist will evolve in successive years to incorporate these
additional standards. As such, each facility utilizing the Agency's
checklist will self-declare each calendar year until the requirements of
the E.O. are met.

To utilize ARS' Self-Declaration Checklist, Auditor(s) will have
received at a minimum, basic EMS training. Auditors should respond
"yes", "no" or "n/a" (not applicable) to each question verifying that
the facility has documentation to support the claim. If the facility
answers "no" to a question, milestones for correcting the deficiency
should be developed in the "Corrective Actions with Milestones" sections
provided. [Corrective actions should be completed by no later than July
1^st^]{.underline} of each year following the annual EMS
self-declaration. The Review Certification Form at the end of the
checklist should then be completed, summarizing the findings of the
audit. The Senior Management Official at the facility (e.g., Research
Leader at a Location) will review the checklist and sign the Review
Certification Form.

**[Other Standards]{.underline}**: Facilities desiring to certify under
other standards or to participate in a Federal or State recognition
program (e.g., International Standards Organization, National
Environmental Performance Track, etc.) will be considered as fulfilling
the certification process as long as the requirements are at least as
stringent as ARS standards. Facilities selecting this alternative will
maintain the adopted certification in lieu of the ARS Review
Certification. Auditors will meet the minimum training requirements of
the adopted standard, or otherwise, be trained as a lead auditor.

**[Reporting]{.underline}**: Annually, each facility will report on the
EMS self-declaration activities that have taken place during the past
calendar year. Locations will provide a copy of the ARS Review
Certification Form or the adopted certification to the Area Office.
Areas will consolidate the information into a summary report for the
Facilities Division, Safety, Health and Environmental Management Branch
(SHEMB). SHEMB will consolidate the Area information into the overall
Agency report for the Department. Additionally, each Area will provide a
follow up report to FD, SHEMB, by July 30^th^ of each year indicating
the status of corrective actions at each of its facilities.

**[Evaluation]{.underline}**: SHEMB and Area Offices will utilize the
information to develop a plan for: providing assistance; conducting
higher level audits; and enacting system improvements.

+----------------------------------------------------------+---+---+---+
| **ARS Environmental Management System Self-Declaration   |   |   |   |
| Checklist v2007**                                        |   |   |   |
+==========================================================+===+===+===+
| **QUESTION:**                                            | * | * | * |
|                                                          | * | * | * |
|                                                          | Y | N | N |
|                                                          | E | O | / |
|                                                          | S | * | A |
|                                                          | * | * | * |
|                                                          | * |   | * |
+----------------------------------------------------------+---+---+---+
| **SECTION 1. Maintaining a Policy of Commitment to       |   |   |   |
| Environmental Excellence**                               |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 1.1 Has the facility developed an EMS policy statement |   |   |   |
| > specific to its mission and environmental activities   |   |   |   |
| > (i.e., does it reflect the significant environmental   |   |   |   |
| > aspects and impacts that occur there?)                 |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 1.1.1 Does the policy statement contain, at a minimum, |   |   |   |
| > a commitment to environmental compliance, pollution    |   |   |   |
| > prevention and conservation practices, and continual   |   |   |   |
| > improvement?                                           |   |   |   |
+----------------------------------------------------------+---+---+---+
| 1.2 Has the policy statement been signed by the current  |   |   |   |
| Senior Management Official at the facility?              |   |   |   |
+----------------------------------------------------------+---+---+---+
| 1.3 Is the policy statement reviewed annually and        |   |   |   |
| updated if necessary?                                    |   |   |   |
+----------------------------------------------------------+---+---+---+
| 1.4 Have significant efforts been made to communicate    |   |   |   |
| the policy statement to all employees at the facility?   |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 1.5 Is the policy statement posted on a bulletin       |   |   |   |
| > board(s) in a conspicuous location(s)?                 |   |   |   |
+----------------------------------------------------------+---+---+---+
| > [Corrective Action with Milestones]{.underline}. For   |   |   |   |
| > each question marked "No" above, please reference the  |   |   |   |
| > question number and provide a description of the       |   |   |   |
| > corrective action(s) to be taken along with the        |   |   |   |
| > anticipated completion date(s).                        |   |   |   |
+----------------------------------------------------------+---+---+---+
| **SECTION 2. Developing Annual Goals, Objectives, and    |   |   |   |
| Targets to Advance Our Program Performance in Terms of   |   |   |   |
| Both Regulated and Unregulated Impacts**                 |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 2.1 Has the facility developed measurable annual goals |   |   |   |
| > and objectives?                                        |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 2.1.1 Are the goals and objectives based in part on:   |   |   |   |
|                                                          |   |   |   |
| -   Significant environmental impacts associated with    |   |   |   |
|     facility and research-related operations;            |   |   |   |
|                                                          |   |   |   |
| -   Deficiencies noted by employees discovered during    |   |   |   |
|     day-to-day monitoring activities;                    |   |   |   |
|                                                          |   |   |   |
| -   Regulatory issues and trends discovered during       |   |   |   |
|     internal and external inspections, reviews, or       |   |   |   |
|     audits;                                              |   |   |   |
|                                                          |   |   |   |
| -   Pollution prevention and conservation initiatives;   |   |   |   |
|     and/or,                                              |   |   |   |
|                                                          |   |   |   |
| -   Agency-wide emphasis programs?                       |   |   |   |
+----------------------------------------------------------+---+---+---+
|                                                          |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 2.1.2 Have goals and objectives been approved and      |   |   |   |
| > endorsed by the Senior Management Official within the  |   |   |   |
| > organizational unit (e.g., signed by the Senior        |   |   |   |
| > Management Official at the Location level?)            |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 2.2 Have the goals and objectives been prioritized     |   |   |   |
| > based on guidance in the ARS EMS Implementation Guide  |   |   |   |
| > or some other prioritization scheme the facility has   |   |   |   |
| > developed?                                             |   |   |   |
+----------------------------------------------------------+---+---+---+
| 3.  Have responsibilities for goals and objectives been  |   |   |   |
|     assigned?                                            |   |   |   |
+----------------------------------------------------------+---+---+---+
| 4.  Have milestones for completion been established?     |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 2.5 Is progress on implementation of annual goals and  |   |   |   |
| > objectives reviewed periodically and documented?       |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 2.6 Have 80-100 % of annual goals and objectives been  |   |   |   |
| > accomplished during the calendar year?                 |   |   |   |
+----------------------------------------------------------+---+---+---+
| > [Corrective Action with Milestones]{.underline}. For   |   |   |   |
| > each question marked "No" above, please reference the  |   |   |   |
| > question number and provide a description of the       |   |   |   |
| > corrective action(s) to be taken along with the        |   |   |   |
| > anticipated completion date(s).                        |   |   |   |
+----------------------------------------------------------+---+---+---+
| **SECTION 3. Considering environmental impacts when      |   |   |   |
| making policy, planning, purchasing, and operating       |   |   |   |
| decisions.**                                             |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 3.1 Has the facility established a written procedure   |   |   |   |
| > to identify its significant environmental aspects and  |   |   |   |
| > impacts?                                               |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 3.2 Has the facility identified and/or reevaluated its |   |   |   |
| > significant environmental aspects and impacts this     |   |   |   |
| > calendar year?                                         |   |   |   |
+----------------------------------------------------------+---+---+---+
| > [Corrective Action with Milestones]{.underline}. For   |   |   |   |
| > each question marked "No" above, please reference the  |   |   |   |
| > question number and provide a description of the       |   |   |   |
| > corrective action(s) to be taken along with the        |   |   |   |
| > anticipated completion date(s).                        |   |   |   |
+----------------------------------------------------------+---+---+---+
| **SECTION 4. Identifying and Complying with Pertinent    |   |   |   |
| Requirements in Federal, State, and Local Laws and       |   |   |   |
| Regulations; Permits; Department of Agriculture and ARS  |   |   |   |
| Policies and Procedures; and Industry Codes That We Must |   |   |   |
| Adhere To**                                              |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 4.1 Does the facility have a written procedure to      |   |   |   |
| > identify and access applicable regulatory              |   |   |   |
| > requirements, policies, and standards?                 |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 4.2 Are applicable legal and other requirements (e.g., |   |   |   |
| > Departmental guidance, ARS P&Ps, FAR, and Executive    |   |   |   |
| > Orders) taken into account as part of                  |   |   |   |
| > the implementation and maintenance of the              |   |   |   |
| > facility\'s EMS?                                       |   |   |   |
+----------------------------------------------------------+---+---+---+
| > [Corrective Action with Milestones]{.underline}. For   |   |   |   |
| > each question marked "No" above, please reference the  |   |   |   |
| > question number and provide a description of the       |   |   |   |
| > corrective action(s) to be taken along with the        |   |   |   |
| > anticipated completion date(s).                        |   |   |   |
+----------------------------------------------------------+---+---+---+
| **SECTION 5. Requesting the Necessary Resources to       |   |   |   |
| Successfully Carry Out Our Goals, Objectives, and        |   |   |   |
| Targets**                                                |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 5.1 Has the facility dedicated resources (e.g.,        |   |   |   |
| > personnel, materials, equipment) to support their EMS  |   |   |   |
| > efforts?                                               |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 5.2 As necessary, has the facility requested, through  |   |   |   |
| > the Annual Resource Management Plan (ARMP) budget      |   |   |   |
| > process, funding and resources needed to: prevent or   |   |   |   |
| > correct human health issues; prevent or cleanup        |   |   |   |
| > environmental releases; correct compliance issues or   |   |   |   |
| > violations; ensure continued compliance with new       |   |   |   |
| > regulatory requirements; and, support pollution        |   |   |   |
| > prevention, conservation initiatives, and other        |   |   |   |
| > projects that will enhance the overall environmental   |   |   |   |
| > program?                                               |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 5.3 Where environmental projects have been identified  |   |   |   |
| > in the ARMP High Priority Requirements List (HPRL),    |   |   |   |
| > has the compliance status been identified in the       |   |   |   |
| > project narrative, and for pollution prevention and    |   |   |   |
| > conservation projects, has a cost payback period or    |   |   |   |
| > the environmental benefits been included in the        |   |   |   |
| > project narrative, to ensure they receive appropriate  |   |   |   |
| > consideration.                                         |   |   |   |
+----------------------------------------------------------+---+---+---+
| > [Corrective Action with Milestones]{.underline}. For   |   |   |   |
| > each question marked "No" above, please reference the  |   |   |   |
| > question number and provide a description of the       |   |   |   |
| > corrective action(s) to be taken along with the        |   |   |   |
| > anticipated completion date(s).                        |   |   |   |
+----------------------------------------------------------+---+---+---+
| **SECTION 6. Making Personnel Aware of Their             |   |   |   |
| Environmental Roles and Responsibilities, Providing      |   |   |   |
| Appropriate Training, and Holding Employees Accountable  |   |   |   |
| for Their Performance and Actions, Including Recognizing |   |   |   |
| Them for Outstanding Performance**                       |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 6.1 Has an individual been delegated authority and     |   |   |   |
| > assigned overall responsibility for the EMS (i.e., EMS |   |   |   |
| > Coordinator?)                                          |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 6.2 Has an EMS Committee been established?             |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 6.3 Has the establishment of the EMS Coordinator and   |   |   |   |
| > EMS Committee been documented in writing via ARS Form  |   |   |   |
| > 309 or through some other means?                       |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 6.4 Do the EMS Coordinator and other key personnel who |   |   |   |
| > have a critical role in carrying out the facility's    |   |   |   |
| > EMS have environmental duties in their performance     |   |   |   |
| > plan? "Key" personnel may include employees who must   |   |   |   |
| > adhere to environmental regulations through licenses,  |   |   |   |
| > training, etc. Examples include: Incinerator           |   |   |   |
| > Operators, Pesticide Applicators, Wastewater Treatment |   |   |   |
| > Operators, and Water System Operators.                 |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 6.5 Are the performance ratings of the EMS Coordinator |   |   |   |
| > and other key personnel who have a critical role in    |   |   |   |
| > carrying out the facility's EMS based in part on their |   |   |   |
| > environmental duties?                                  |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 6.6 Does the EMS Committee meet on a recurring basis   |   |   |   |
| > (i.e., not less than quarterly)?                       |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 6.7 Have the EMS Coordinator and Committee Members     |   |   |   |
| > received EMS training congruent with their             |   |   |   |
| > responsibilities?                                      |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 6.8 Have significant efforts been made to provide EMS  |   |   |   |
| > awareness training to all employees?                   |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 6.9 Is there a written procedure in place to ensure    |   |   |   |
| > that new employees receive EMS awareness training?     |   |   |   |
+----------------------------------------------------------+---+---+---+
| 6.10 Have new employees received EMS awareness training? |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 6.11 Does the facility have a written procedure to     |   |   |   |
| > identify environmental training requirements for each  |   |   |   |
| > position at the facility?                              |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 6.12 Are environmental training requirements           |   |   |   |
| > documented and tracked via Individual Development      |   |   |   |
| > Plans (IDPs), ARS Form 48?                             |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 6.13 Has completed environmental training been         |   |   |   |
| > documented?                                            |   |   |   |
+----------------------------------------------------------+---+---+---+
| > [Corrective Action with Milestones]{.underline}. For   |   |   |   |
| > each question marked "No" above, please reference the  |   |   |   |
| > question number and provide a description of the       |   |   |   |
| > corrective action(s) to be taken along with the        |   |   |   |
| > anticipated completion date(s).                        |   |   |   |
+----------------------------------------------------------+---+---+---+

+----------------------------------------------------------+---+---+---+
| **ARS Environmental Management System Self-Declaration   |   |   |   |
| Checklist v2007**                                        |   |   |   |
+----------------------------------------------------------+---+---+---+
| **QUESTION:**                                            | * | * | * |
|                                                          | * | * | * |
|                                                          | Y | N | N |
|                                                          | E | O | / |
|                                                          | S | * | A |
|                                                          | * | * | * |
|                                                          | * |   | * |
+----------------------------------------------------------+---+---+---+
| **SECTION 7. Routinely Monitoring Our Environmental      |   |   |   |
| Operations and Conducting Periodic Inspections, Audits,  |   |   |   |
| and Reviews to Ascertain That We Meet Applicable         |   |   |   |
| Standards and to Evaluate Our Program Effectiveness**    |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 7.1 Has the facility conducted an annual inspection    |   |   |   |
| > (e.g., ARS Inspection/Abatement Program) that includes |   |   |   |
| > an environmental component in the current calendar     |   |   |   |
| > year?                                                  |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 7.2 Have written report(s) of findings been provided   |   |   |   |
| > to the Senior Management Official at the facility?     |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 7.3 **(Area Only)** Has the Area developed a written   |   |   |   |
| > 10 year plan outlining the year(s) in which each of    |   |   |   |
| > its Locations will be inspected/audited/reviewed?      |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 7.4 **(Area Only)** Does the Area plan include an      |   |   |   |
| > explanation of the rationale for the type(s) and       |   |   |   |
| > frequency of inspections/audits/reviews selected?      |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 7.5 **(Area Only)** Does the Area 10 year plan include |   |   |   |
| > a 2^nd^ or 3^rd^ party audit of each facility at a     |   |   |   |
| > minimum of every 3 years as required under E.O. 13423? |   |   |   |
+----------------------------------------------------------+---+---+---+
| > [Corrective Action with Milestones]{.underline}. For   |   |   |   |
| > each question marked "No" above, please reference the  |   |   |   |
| > question number and provide a description of the       |   |   |   |
| > corrective action(s) to be taken along with the        |   |   |   |
| > anticipated completion date(s).                        |   |   |   |
+----------------------------------------------------------+---+---+---+
| > **SECTION 8. Correcting Identified Deficiencies in a   |   |   |   |
| > Timely Manner and Taking Appropriate Steps to Prevent  |   |   |   |
| > Their Recurrence**                                     |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 8.1 Does the facility have a written procedure for     |   |   |   |
| > ensuring that deficiencies are corrected?              |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 8.2 Have deficiencies been corrected in a timely       |   |   |   |
| > manner or has a corrective action plan been developed  |   |   |   |
| > for long-term improvements?                            |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 8.3 Have corrective actions been documented?           |   |   |   |
+----------------------------------------------------------+---+---+---+
| > [Corrective Action with Milestones]{.underline}. For   |   |   |   |
| > each question marked "No" above, please reference the  |   |   |   |
| > question number and provide a description of the       |   |   |   |
| > corrective action(s) to be taken along with the        |   |   |   |
| > anticipated completion date(s).                        |   |   |   |
+----------------------------------------------------------+---+---+---+
| **ARS Environmental Management System Self-Declaration   |   |   |   |
| Checklist v2007**                                        |   |   |   |
+----------------------------------------------------------+---+---+---+
| **QUESTION:**                                            | * | * | * |
|                                                          | * | * | * |
|                                                          | Y | N | N |
|                                                          | E | O | / |
|                                                          | S | * | A |
|                                                          | * | * | * |
|                                                          | * |   | * |
+----------------------------------------------------------+---+---+---+

+----------------------------------------------------------+---+---+---+
| **SECTION 9. Clearly Documenting and Reporting the       |   |   |   |
| Progress and Achievements Related to This Policy**       |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 9.1 Has measurable EMS performance information been    |   |   |   |
| > identified, collected, and provided to allow the       |   |   |   |
| > Senior Management Official to carry out an annual EMS  |   |   |   |
| > review?** **                                           |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 9.2 Does the Senior Management Official at the         |   |   |   |
| > facility annually evaluate and certify the progress    |   |   |   |
| > made on implementing the EMS?                          |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 9.3 Did the Senior Management Official at the facility |   |   |   |
| > respond to recommendations for continual improvement?  |   |   |   |
+----------------------------------------------------------+---+---+---+
| > 9.4 Is progress on EMS implementation communicated to  |   |   |   |
| > facility personnel on an annual basis?                 |   |   |   |
+----------------------------------------------------------+---+---+---+
| > [Corrective Action with Milestones]{.underline}. For   |   |   |   |
| > each question marked "No" above, please reference the  |   |   |   |
| > question number and provide a description of the       |   |   |   |
| > corrective action(s) to be taken along with the        |   |   |   |
| > anticipated completion date(s).                        |   |   |   |
+----------------------------------------------------------+---+---+---+

**ARS Environmental Management System Review Certification Form v2007**