National Center for Environmental Innovation


2004 Report on Progress 
Joe Albright, Peggy Alexander, Derry Allen, Amy Alton, Geoffrey Anderson, Peggy 

Bagnoli, Kathleen Bailey, Mary Kay Bailey, Amanda Bassow, David Beck, Jay 

Benforado, Bob Benson, Jennifer Benz, Joyce Billious, Elsa Bishop, Howard Boddie, 

Patricia Bonner, Scott Bowles, Michael Branagan, Karen Brown, Janice Bryant, 

Amanda Burch, Jamie Burnett, Darlene Byrd, Chad Carbone, Sandra Carey, Joyce 

Carter, Ted Cochin, Brenda Collington, Lisa Comer, Marian Cooper, Joseph Creamer, 

John Cross, William Crosswhite, Meghan Curran, Loretta Davis, Katherine Dawes, 

Yolanda Delilly, Dave Dellarco, Bridgette Dent, Lynn Desautels, Mimi Diez, Daniel 

Eddinger, Carlton Eley, Barry Elman, Erika Faieta, Gerald Filbin, Daniel Fiorino, 

Christopher Forinash, John Foster, Andrea Gardner, Sandy Germann, Pearlie Gibson, 

Sharquita Goldring, Lynda Goodgame, Lou Goss, Kim Green-Goldsborough, Dayna 

Greenberg, Shari Grossarth, David Guest, Rhea Hale, Luctrician Hamilton, Bill 

Hanson, Lars Hanson, Shana Harbour, LaTish, Harris, Cheryl Hawkins, John 

Heffelfinger, Douglas Heimlich, Kristina 

Heinemann, Mike Hessling, Roger Holtorf, 

Claudia Huntley, Deloris Huntley, Daniel Hutch, 

Carolyn Inge, Hattie Johnson, Shirley A. 

Jones, Adhir Kackar, Michael Kane, Richard 

Kashmanian, Shannon Kenny, Chuck Kent, Mitch Kidwell, Robin Kime, Chris 

Knopes, Carl Koch, Pamela Kogan, Jeff Kohn, Roberta Lane, Adam Levitan, Amber 

Levofsky, Christopher Lyons, Kathy Madonia, Jim Malcolm, Michelle Mandolia, Eric 

Marsh, Mike Mascia, Eileen Mayer, Andrew McClain, Esther McCrary, Eileen 

McGovern, Susan McLaughlin, Hetal Metha, Danielle Meunier, Michael Minelli, 

Dana Mooney, Jonathan Moore, Shai Morris, Elke Muzikar, Tom Nakley, Kevin 

Nelson, Jerry Newsome, Lisa Nisenson, M. Hyatt Nolan, Leanne Nurse, Marc 

Olender, Greg Ondich, Sandra Panetta, Sean Peoples, Donna Perla, Geneva 

Poindexter, Beverly Posey, Matthew Potts, Lucille Preston, Ilana Preuss, Laura Pyzik, 

Chris Reed, Lisa Reiter, Michael Renda, Lynn Richards, Barbara Rogers, Earl Russell, 

Robert Sachs, Michael Santora, Georgia Schuh, Betsy Shaw, Linda Shi, Jon 

Silberman, Suganthi Simon, Janell Smith, Juanita Smith, Lee Sobel, Eric Sprague, 

Julie Spyres, Kurt Steiner, Tim Stuart, Angela Suber, Brian Swett, Stephan Sylvan, 

Andrew Teplitzky, Beth Termini, Larry Tessier, Tim Torma, Peter Truitt, Gloria 

Tucker, Catherine Tunis, Tom Tyler, Aritetsoma Ukueberuwa, Kristen Underwood, 

Brett Van Akkeren, Sara Van de Kappelle, Paula Van Lare, Kristinn Vazquez, Lynn 

Vendinello, Sherri Walker, Yvonne Watson, Craig Weeks, Betty R. Williams, Glenda 

Williams, Daria Willis, George Wyeth, Daniel Yohannes 
Partnering for Better Environmental Results 

I am pleased to present the first progress report for EPA’s National Center for 

Environmental Innovation. The Center was established in 2003 to find new ways to 

achieve better environmental results. Our efforts to modernize the United States’ 

environmental protection system are designed to address some of today’s most pressing 

environmental problems, to expand the types of environmental protection tools, and 

to continue the shift from pollution control to prevention and sustainability. 

As this report shows, all of our work is achieved in partnership with others. That is 

why we were created as a “national center”—to engage organizations that are actively 

working on innovative environmental solutions. We are particularly committed to 

building our partnership with states that are on the front lines of environmental protection, and to supporting environmental leaders in business and communities that 

are not satisfied with simply meeting baseline environmental requirements. 

This partnership approach also applies within EPA. While we manage a number of 

unique environmental programs, the Agency’s success with innovative approaches 

depends just as strongly on the efforts of our colleagues in the regional offices and 

national programs. They are dynamic sources of innovation in their own right, and 

indeed, I would like to thank the cross-Agency Innovation Action Council and its 

staff for the leadership they provide in advancing innovative approaches for EPA. I 

would also like to recognize the creativity and innovation that has been demonstrated 

by many other staff throughout the Agency. 

With a multimedia perspective and a collaborative problem-solving mind set, the 

Center brings new ideas, creative partnerships, and sound analysis to environmental 

policy challenges. I hope this report will encourage you to learn more about our work 

and to consider us a resource that can assist you in developing innovative approaches 

for improving environmental results. 

Jay Benforado, Director 

National Center for Environmental Innovation 
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2003 

EPA opens the National Center for Environmental Innovation. 

NCEI announces environmental partnerships with 12 major business and industry sectors. 

rst investment advisory f rm begins using Performance Track in its ratings. 

A Small Business Strategy is released to unify more than 100 small business activities across EPA. 

The 2003 National Awards for Smart Growth are announced at the National Building Museum. 

rst in a series of meetings is held to help states learn about the Environmental Results Program, 

Massachusetts’ innovative program for improving environmental results in small business sectors. 

Six states are awarded a total of $874,000 under the State Innovation Grant program to explore 

innovative approaches to permitting. 

Three innovation projects are selected under a new EPA Improving Results Competition, which provides resources to support evaluations and performance measurement. 

Performance measurement training is offered (to winners of the Improving Results 

rst EPA training in this area since 2000. 

NCEI revises the EPA Public Involvement Policy for f rst time in more than 20 years. 

rst NCEI Environmental Policy Forum examines barriers to reducing, recycling, and reusing 

industrial wastes. 

2004 

The Administrator signs EPA’s f rst rule giving regulatory benefits to Performance Track members. 

The Strategy for Determining the Role of Environmental Management Systems in Regulatory Programs 

released to inform future environmental policy and program management decisions. 

A report on Performance Track shows significant environmental accomplishments by members. 

Innovating for Better Environmental Results: A Report on Progress from the Innovation Action Council 

lights EPA’s progress under a comprehensive innovation strategy. 

Sector Strategies Performance Report rst-ever collection of environmental performance information for 12 business and industry sectors. 

The Administrator signs a Smart Growth Strategy that explains how EPA will target Agency activities 

to encourage growth that supports environmental, economic, and community interests. 
Highlights 

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during regulation development. 

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NCEI-sponsored research on lean manufacturing wins the Shingo Prize—considered the “Nobel 

Prize” for manufacturing research. 

EPA senior leadership adopts a set of reforms for improving Agency-wide management of voluntary 

More than 75 percent of Performance Track charter members reapply for a second term of 

membership. 

A collaborative partnership is initiated to eliminate mercury-containing light switches from end-of-life 

vehicles before they are shredded and prepared for steel recycling. 

Six states are awarded a total of $901,000 through the State Innovation Grant competition. 

rst corporate membership option for Performance Track. 

An ERP Guide is released to help states improve management of underground storage tanks. 

The Small Business Strategy Implementation Plan is approved, which brings unity and improves effectiveness of EPA’s small business assistance activities. 

The Small Business Forum brings together small business owners, states, trade associations, and government agencies to discuss small business priorities. 

A joint innovation work plan is developed in cooperation with the Environmental Council of the States. 

A white paper is drafted to increase collaborative decisionmaking at EPA. 

A new contract is negotiated to provide EPA staff with support for all phases of the innovation 

process—from startup to evaluation to diffusion. 

A second round of innovation projects is selected for evaluation and performance measurement 

assistance under EPA’s Improving Results Competition. 

The launch of a new international innovation Web site helps users explore innovative approaches to 

environmental protection around the world. 

An Innovation Toolkit for Rulewriters is released to help EPA staff consider a broader set of options 

The 2004 National Award for Smart Growth Achievement are announced—with an additional 

category to recognize small community achievements. 

More than 385 individuals from EPA and state programs are trained on performance measurement, 

evaluation, and the innovation process. 
4
Contents


Introduction ...............................................................................................2

Strong Environmental Stewardship ..........................................................5

A Performance-Based Regulatory System ...............................................16

A Culture of Creative Environmental 


Problem-Solving ......................................................................................22

Closing .....................................................................................................28
Introduction 

Take a look at America’s most successful organizations, and you’ll likely see a strong 

investment in research and development. There is a constant search for new ideas, a 

willingness to explore their potential, and ultimately, a commitment to putting 

proven ideas to work. At EPA, the National Center for Environmental Innovation 

(NCEI) brings a research and development approach to environmental policy. 

Working with others, we investigate new approaches, evaluate their effectiveness, 

and apply what we learn to strengthen environmental protection. As the figure 

below shows, this innovation process sets the stage for continuous improvement and 

for new ideas to realize their full potential. 

The Innovation Process 

Results Full-scale

A pply 

Spinoff 

for Other 

Purposes 

Develop/ 

Refine Idea 

Pilot 

Test 

Evaluate 

2 
NCEI plays another unique role at EPA—running a set of multimedia programs that 

promote environmental stewardship in business, industry, and communities. Rather 

than addressing a particular environmental issue, these programs focus on the entire 

environmental footprint. They do so by looking at all aspects of environmental performance. An overview of each one is provided on the next page. 

Through these roles, NCEI focuses on finding new ways to achieve better environmental results. That is our mission as we work to achieve three long-term goals: 

■	 Strong environmental stewardship in all parts of society that supports sustainable 

development and pollution prevention. 

■	 A performance-oriented regulatory system that allows flexible strategies to 

achieve measurable environmental goals. 

■	 A culture of creative environmental problem-solving that has a high capacity for 

collaborative, results-oriented work and the organizational systems needed to 

support it. 

This report highlights progress toward each of these goals since our launch in 2003. 

It also shows how we are contributing to the transformation that EPA and many 

other organizations believe is needed to sustain a strong, effective environmental 

protection system. 

“The United States must continue to transform its environmental management system, not because innovation 

is good per se, but because the present system will not 

solve the nation’s outstanding environmental problems.” 

National Academy of Public Administration 

November 2000 

3 
—This fi

Small Business—Widely recognized as the backbone of the American econoaddress their special needs. 

NCEI’s Stewardship Programs—Taking a Multimedia Approach 

to Improve Environmental Performance 

National Environmental Performance Track rst-of-its-kind voluntary 

program recognizes America’s top environmental performers for their commitment to continuous improvement. To qualify for membership, facilities 

must demonstrate a strong and sustained history of environmental compliance, use an Environmental Management System that has been assessed by 

an independent third party, commit to improving environmental results in 

several aspects of their operations and report on performance annually, and 

share information about performance with the public. The 300-plus members 

represent all major industries and range from FORTUNE 500 companies to 

small independently owned businesses to government agencies. 

Sector Strategies—NCEI promotes comprehensive environmental improvement in 12 major business and industry sectors. For each sector, we work 

with participating trade associations, EPA programs and regions, other federal 

agencies, and states on environmental strategies that are tailored to each sector’s specific operations. Collectively, these sectors represent more than 

750,000 establishments, employ more than 11 million workers, and contribute 

23 percent of the value of U.S. manufacturing shipments. 

my, small businesses represent more than 99 percent of U.S. employers and 

96 percent of exporters of all goods. Compared to their larger counterparts, 

however, these businesses face a variety of environmental management challenges. NCEI plays an important role in helping America’s small businesses 

manage environmental performance, acting as the official Small Business 

Ombudsman and providing a variety of resources that are designed to 

Smart Growth—Recognizing that how and where development occurs can 

affect air, land, and water resources, NCEI works with states, local governments, developers, and nonprofit organizations to help communities minimize 

the environmental impacts of development. Our partnerships focus on providing information that can inform sound development decisions and addressing regulatory issues that can inadvertently hinder smart growth efforts. 
Strong Environmental Stewardship 


The United States has a proud heritage of environmental progress. During the past 30 

years, the country has cut pollution significantly from the most egregious sources, like 

smokestacks from factories and wastewater pipes spewing into lakes and streams. 

Although such images are largely a relic of the past, the 21st century brings a far more 

insidious set of problems, like global climate change, polluted runoff, and loss of habitat and biodiversity. These challenges are a result of the combined actions and decisions made by millions of individuals and organizations every day. They can not be 

completely addressed with conventional regulatory controls, but rather require all parts 

of society to work together on sustainable solutions for this and future generations. 

Today, many individuals and organizations are responding to this stewardship challenge, contributing to environmental progress in a variety of ways. As this section 

shows, NCEI is working to bolster this trend through strategic partnerships with 

businesses and communities that want the quality of life, cost savings, and other 

benefits that can come through sound environmental management. Together, we are 

finding ways to refine existing environmental policies and practices while also pursuing new opportunities to address a broader set of environmental challenges. 

Creating Incentives for Stewardship 

As the nation’s primary environmental overseer, EPA focuses significant time and 

attention on assuring compliance with environmental requirements. But EPA recognizes it also has a role to play in supporting organizations that exceed requirements. 

NCEI’s Performance Track program does this by creating incentives to reward top 

environmental performers and motivate others to achieve similar levels of high performance. The incentives are based on the premise that the government should 

complement existing regulatory tools with new approaches that increase environmental results, reduce environmental costs, and spur technological innovations that 

ultimately can lead to even greater environmental and economic benefits. 

5 
Performance Track offers a range of incentives, including public recognition, networking opportunities with peers and EPA officials, and flexibility in meeting certain regulatory and administrative requirements. Members may use the distinctive 

Performance Track logo in their public relations and advertising, and 

they receive official EPA recognition 

through the Performance Track Web 

site, articles in trade journals, speeches by senior EPA officials, and an 

annual Performance Track meeting. 

On the regulatory front, Performance Track members are designated as a low priority 

for routine environmental inspections and are eligible for regulatory flexibility under 

the Resource Conservation and Recovery Act and the Clean Air Act. A number of 

other regulatory and administrative incentives are under development. The Agency 

offers these benefits because the performance- and compliance-focused 

Environmental Management System (EMS) that all Performance Track members 

must have—coupled with periodic auditing, regulatory site visits, and members’ 

proven track records of strong environmental performance—are likely to guard 

against compliance problems. In addition to saving members time and resources, 

Performance Track’s regulatory and administrative incentives allow EPA and state 

regulators to focus on higher environmental priorities. 

Results to date show that Performance Track members are going beyond legal 

requirements and achieving significant environmental results. Each year, members 

submit an annual performance report documenting progress toward their goals. 

Cumulative results since the program’s inception are shown in the box to the right. 

A number of Performance Track companies have multiple facilities registered in the 

program. To recognize top environmental performing companies that are substantially involved, NCEI announced a new Corporate Membership designation in 2004. 

This designation enables EPA to promote corporate-level environmental commitment, interact more directly with corporate leaders, and encourage environmentally 

sound actions that can be undertaken more effectively at a corporate level, such as 

decreasing the environmental impacts that occur in the supply chain. To be eligible, 

companies must have at least five facilities and at least 25 percent of their total 

operations represented in Performance Track (or similar performance-based state 

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Performance Track Members’ 

Cumulative A chievements, 2000 – 2002 

Saved 3.1 million MMBTUs of energy 

Conserved 775 million gallons of water 

Reduced hazardous materials’ use by 17,996 tons 

Eliminated 176,126 tons of solid waste 

Cut 6,558 tons of hazardous waste 

Prevented 40,193 tons of greenhouse gas emissions 

Prevented 2,152 tons of nitrogen oxide and 13,621 tons of sulfur dioxide 

Reduced toxic discharges to water by 6,834 tons 

Increased use of reused or recycled materials by 13,760 tons 

Preserved or restored 4,485 acres of habitat 

programs). In addition, companies must commit to increase their participation to 50 

percent within five years. 

A new agreement with two chemical industry trade associations—the American 

Chemical Council and the Synthetic Organic Chemical Manufacturers 

Association—is also expected to increase Performance Track membership. The 

agreement recognizes that the industry’s premiere environmental stewardship program—known as Responsible Care®—shares many of the same principles as 

Performance Track, including an emphasis on continuous improvement, sustained 

compliance, and transparency of operations. Based on these similarities, EPA committed to streamlining the Performance Track application process and coordinate 

the planning of site visits and audits for Responsible Care facilities. In return, the 

trade associations committed to increase participation in Performance Track and to 

leverage the Responsible Care program as a vehicle for continuous environmental 

improvement. 

7 
The past year also brought Performance Track’s first renewal period for the charter 

members accepted in 2001. The results show that memberships are highly 

valued—more than 75 percent of eligible members re-applied. Those that declined 

did so mostly because of difficulty in meeting the high performance criteria or 

because of a change in management or ownership. 

Performance Track Supports Growth in Green Investing 

While recognition from EPA can translate into competitive advantage for 

Performance Track members, so can recognition from the investment advisory 

industry. Since 2003, three investment advisory firms—Calvert Group, Innovest 

Strategic Value Advisors, and KLD Research & Analytics Inc.—have begun using 

Performance Track membership as a factor in developing the ratings they use for 

guiding investment decisions. In addition to benefitting members, these developments could lead to much greater attention to environmental performance 

within the financial management industry. 

Improving Performance A cross Whole Business Sectors 

How can EPA maximize environmental improvement efforts? One approach is to 

look for solutions that can be effectively applied to a large number of facilities. That 

is the premise behind NCEI’s Sector Strategies program, which partners with select 

trade associations to improve environmental performance across whole business sectors. Taking a highly strategic approach, NCEI works with each sector on three priorities: 

■	 Addressing regulatory barriers that can inadvertently hinder performance. 

■	 Promoting use of EMSs that can help businesses achieve a more systematic 

approach to environmental protection. 

■	 Developing measures that enable each sector’s performance to be tracked over 

time. 

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■ Cement 

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■ Specialty-Batch Chemicals 

Sector Partners 

Colleges & Universities 

Construction 

Forest Products 

Metal Casting 

Paint & Coatings 

Ports 

Shipbuilding & Ship Repair 

NCEI designates a point of contact to work directly with each sector. These individuals are expected to develop expertise and understanding of the issues important to 

their industry so they can effectively offer assistance. Such interaction is helping to 

build more collaborative, constructive relationships between EPA and our sector 

partners. Bruce Backus, chair of EPA’s Colleges and Universities Sector 

Coordinating Committee, described it by saying, “What is exciting...is that this 

effort has opened a truly meaningful dialogue. We are able to discuss issues that have 

been a concern to our sector for more than 20 years. These dialogues...have at their 

foundation a sense of partnering, candor, and a commitment to improve environmental stewardship.” 

The increased dialogue and interaction often reveal opportunities for improving 

environmental results within the sectors. For example, in response to the specialtybatch chemical industry’s interest in EPA’s growing number of voluntary programs, 

NCEI worked with the sector’s trade association on a guide that helps business owners and managers decide which of the more than 70 programs best suit their interests. This new tool provides information on 16 programs that are directly applicable 

to specialty-batch chemical operations. 

9 
The efforts to promote EMSs vary by 

sector. In some sectors, EMS is still a relatively new concept and so the emphasis 

is on development. For example, in 

2004, NCEI and the American 

Association of Port Authorities began 

assisting 11 ports in their EMS development, all of which will serve as models 

for other ports around the country. In 

other sectors, EMS use has evolved to a 

point that industry trade associations are 

incorporating EMSs into their environmental stewardship programs. This year, 

both the American Meat Institute and 

the Society of Organic Chemical Manufacturers included EMS tools, developed 

with NCEI, into their new stewardship initiatives. 

Looking at “Lean” As a Sound Stewardship Strategy 

In recent years, use of lean manufacturing has taken off in the United States as


organizations look for ways to cut costs, reduce waste, and improve product


quality. This business model focuses on continuous improvement, and although


most adopters use lean manufacturing to gain competitive business advantages,


the more efficient practices can also help with environmental stewardship goals.


Recognizing that lean techniques could be helpful for improving environmental


results in a number of industries, NCEI is studying its use in private companies as


well as the U.S. military. The findings to date show that lean techniques produce


a robust waste elimination culture and create strong financial incentives for


resource conservation and pollution prevention. In 2004, NCEI-sponsored


research earned the Shingo Prize for Research that Fosters Excellence in


Manufacturing Business. Dubbed the “Nobel Prize for Manufacturing,” this award


recognizes and promotes awareness of research on lean manufacturing processes


in the United States, Canada, and Mexico.


10 
To track performance trends in each industry, in 2004, NCEI released the first 

Sector Strategies Performance Report. The report provides a profile on each industry’s operations, highlights environmental performance trends during the last 10 

years, and identifies the best opportunities for improving environmental performance in each sector in the near-term. It represents the first time EPA has assembled 

such a comprehensive portrait of environmental performance on business and industry sectors, and reveals the data gaps that need attention in order to improve performance reporting in the future. 

Focusing on the Needs of Small Business 

As EPA’s leading advocate for small business, NCEI works to understand and address 

the many issues that can improve environmental stewardship in small businesses. 

For example, several times a year, NCEI organizes a meeting among EPA’s Deputy 

Administrator and trade associations that represent millions of small businesses. 

This forum gives the small business community a unique opportunity to raise issues 

that are important to them. Recognizing that the bulk of assistance is provided by 

others, NCEI also sponsors a yearly conference for state small business assistance 

providers, trade association representatives, small business owners, and other small 

business stakeholders to learn and share information about helping the small business community. This event is key in helping to better coordinate small business 

assistance delivery mechanisms. 

In 2004, NCEI worked with others to create more comprehensive environmental 

assistance programs for small businesses. Currently, the bulk of government-sponsored environmental assistance comes from State Small Business Assistance 

Programs. But because these programs are authorized under the Clean Air Act, they 

tend to focus mostly on air issues. Recognizing the need for help in a range of areas, 

NCEI, the national air program, and EPA small business advisory groups agreed to 

work toward multimedia services. As a first step, we are researching state programs 

to identify those that already incorporate other media to some degree. The goal is to 

identify existing models that can demonstrate the value and viability of multimedia 

assistance programs and to then work with states to build support for these programs 

nationally. 

11 
In 2003, NCEI released a strategy to unify and improve the effectiveness of more 

than 100 EPA small business initiatives. The EPA Small Business Strategy focuses 

on strengthening advocacy for small businesses within EPA, expanding small business involvement in the regulatory development process, providing environmental 

assistance tools and resources, and promoting small business participation in environmental leadership programs, such as Performance Track. To follow through on 

those commitments, NCEI led the Agency in planning implementation activities. 

Priorities include identifying opportunities to involve small businesses early in the 

rulemaking process, considering small business needs and limitations in e-government developments, and establishing full time small business contacts in each EPA 

regional office. Together the strategy and implementation plan provide EPA with a 

comprehensive framework for improving assistance to small businesses. During a 

Small Business Forum in 2004, small business stakeholders were asked to reaffirm 

the commitments EPA made in these products, to test their effectiveness and to 

continuously provide feedback on how well services are working. 

“On Call” for Small Business 

One of the many ways NCEI assists small businesses is through a toll-free hotline. Each month, the hotline responds to more than 1,000 calls. From air quality 

to pesticides to underground storage tanks, small business owners and managers 

receive the guidance they need to address a range of environmental challenges. 

Supporting Smart Growth 

NCEI is working with a variety of stakeholders on smart growth strategies that support 

environmental stewardship in communities. 

These strategies are designed to protect the 

environment by preserving open space and 

parklands, protecting critical habitat, improving transportation choices to reduce automobile emissions, cleaning up and revitalizing 

brownfields, and reducing paved surfaces to 

decrease polluted runoff into waterways. 

12 
In cooperation with the Smart Growth Leadership Institute, the University of 

Southern California, and the University of Colorado, NCEI is assisting nine communities around the country with smart growth initiatives. A team of experts is 

helping each one assess development codes and ordinances to ensure that they provide for a variety of housing and transportation choices, preserve parks and other 

critical environmental areas, and locally enhance sense of community. They are also 

helping create design standards and review protocols that can increase certainty and 

predictability in each community’s development process. The lessons learned from 

these communities will be incorporated into a national Smart Growth 

Implementation Kit that will provide guidance to many more communities that 

want the development, tax, transportation, and open space benefits that smart 

growth strategies can provide. 

Participation in the national Smart Growth Network provides another important 

partnering opportunity, enabling NCEI to leverage the expertise and resources of 

more than 30 other organizations that share smart growth interests. As part of the 

Network, NCEI hosts a Smart Growth Forum in cooperation with the National 

Building Museum in Washington, D.C. Recognized as a leading venue for discussion 

on development issues, this monthly event presents a variety of approaches and 

tools for encouraging development that serves the economy, community, and environment. Previous speakers have discussed transportation choices, best development 

practices, energy and resource efficiency, architecture and design, local activism, and 

many other topics. 

NCEI also develops guides and other resources to promote understanding of smart growth principles. For 

example, based on the strong response to Getting to 

Smart Growth: Policies for Implementation, which was 

developed in cooperation with the International 

City/County Management Association, NCEI and the 

association collaborated on a second edition. The latest guide Protecting Water Resources with Smart Growth, 

which was released in 2004, provides information on 

100 additional smart growth policy tools. Demand has 

been similarly strong for this new document, which 

provides information on 75 innovative approaches, 

such as growing rooftop gardens and creating shared parking spaces, that can help 

communities achieve smart growth and water quality goals. More than 40,000 copies 

were distributed in the first month alone. 

13 
The Sacramento Area Council of 

than than 5,000 individuals in the development of a blueprint for managing 

Policies and Regulations: 

choices. 

Small Communities: The San Juan Pueblo developed the fi

2004 Winners of the 

National A ward for Smart Growth A chievement 

Built Projects: The city of Greensboro, North Carolina, capitalized on a rich 

stock of historic buildings and public spaces to create a new development that 

is revitalizing the downtown neighborhood. Located just one-and-a-half blocks 

from the city’s historic main street, the new development has transformed this 

blighted area into a thriving, attractive district. Once complete, tax revenues 

are expected to be 25 times higher than revenues prior to redevelopment. 

Community Outreach and Education: 

Governments involved private business, 30 government agencies, and more 

regional growth. During the course of two years, participants debated various 

land use, housing, and transportation choices, then evaluated and voted on 

four proposed scenarios. The winning selection is now the basis of a regional 

plan that will guide development through 2050. 

To provide seniors, students, and other residents 

with more affordable housing choices, Santa Cruz, California, revised its regulations to make it easier for homeowners to build “accessory units” on their 

property. These new residences are created by converting all or part of a 

garage into housing, or by building new structures on a homeowners property. 

They provide homeowners with an additional source of income and provide 

additional options to people who need smaller, more affordable housing 

rst smart growth 

model for Indian tribes. Their master plan reflects the same commitment to 

community, environmentally sound designs, and pedestrian-oriented villages 

that have long been a part of the tribe’s 700-year heritage. 

Overall Excellence: Davidson, a small North Carolina community, is setting 

the standard for creating historic, healthy, vibrant neighborhoods. A land plan, 

innovative planning ordinance, and smart growth policies are reinforcing 

Davidson’s goal of creating connected, walkable neighborhoods that maintain 

its traditional, small town legacy. 
NCEI’s annual National Award for Smart Growth Achievement provides another 

important mechanism for promoting smart growth. Now in its third year, this award 

program has recognized an impressive array of projects, policies, and programs that 

promote healthy, vibrant communities. Each recipient has used smart growth principles to create places that celebrate community culture, protect the environment, 

foster economic development, and enhance quality of life. The 2004 award winners, 

highlighted on page 14, provide national smart growth models for other communities around the country. 

Recognizing the many ways EPA can help address development issues, the 

Administrator signed EPA’s first Smart Growth Strategy in 2004. Developed with a 

cross-Agency team, the strategy lays outs how EPA will target existing efforts to 

reduce environmental impacts of development while enhancing economic and community benefits. It focuses on promoting infill and redevelopment, developing smart 

transportation solutions, partnering on innovative development and building regulations, supporting smart growth initiatives in states, and ensuring EPA’s own policies 

recognize smart growth benefits. 

15 
A Performance-Based Regulatory System


The United States is widely recognized as having one of the strongest environmental regulatory systems in the world. Indeed, our regulations provide the first line of 

environmental protection defense and help ensure a level economic playing field 

among competitors. Nevertheless, there are opportunities to achieve better results 

from regulations, while also adding more flexibility and reducing regulatory burden. 

Within EPA, NCEI acts as a catalyst for new regulatory approaches. As the following examples show, we are committed to developing incentives, alternative compliance options, and other enhancements that can help businesses and other organizations achieve their environmental goals as efficiently and effectively as possible. 

A Strategy for Determining the Role of 

EMSs in Regulatory Programs 

As the previous section showed, EMSs are a key component of many stewardship programs, providing organizations with a way to integrate environmental 

goals into everyday operations. EPA formally stated its support of EMSs in 1999. 

Since then, EPA’s support for voluntary use of EMSs has grown, as is evident in 

numerous voluntary programs and policies with EMS components. Although EPA 

will continue to promote voluntary adoption of these important management 

tools, the surge in use is raising questions about how they might also be helpful 

in regulatory programs. In 2004, NCEI developed an EPA policy research strategy 

that will help answer that important question. The Strategy for Determining the 

Role of EMSs in Regulatory Programs is designed to assess how EMSs might be 

used in regulations to increase environmental results, reduce costs, improve compliance, maximize government resources, and enhance public involvement. 

16 
Improving Permitting 

Ask businesses and other organizations how to improve 

environmental regulation, and first responses are likely 

to focus on permits—the legal instruments by which 

states and EPA implement environmental laws. From 

the start, NCEI has focused on permitting improvements that get better results for regulated facilities as 

well as regulatory agencies. For example, nearly a 

decade of testing more flexible permits under the Clean 

Air Act has shown they can lead companies to make 

production improvements that significantly reduce emissions. As a result, NCEI is 

now working with the national air program on a rule to increase use of flexible permits. In addition, we are working together on a plan that would provide this option 

for facilities that have already shown a commitment to continuous improvement: 

members of Performance Track. Flexible permits are already under development for 

three Performance Track members—a 3M facility in Texas, another 3M facility in 

Missouri, and a Baxter Healthcare facility in Arkansas. When completed, these 

facilities will be able to make operational changes more quickly than under traditional permits, a critical need in their dynamic business environments. 

NCEI has also been instrumental in helping states learn about an alternative permitting program that has proven highly successful in Massachusetts. The 

Environmental Results Program (ERP) focuses on improving environmental performance in sectors that are comprised mostly of small businesses. In these sectors, 

the sheer number of facilities can make it difficult for regulators to track and oversee 

each business’s performance. Rather than issuing permits to each business, 

Massachusetts developed an alternative approach that requires the small business 

owner to check for and self-certify environmental compliance. The state also developed compliance assistance materials that help owners understand their legal 

requirements and statistically based measures that allow environmental performance 

to be tracked over time. Enforcement and inspections are also an integral part of the 

ERP process. 

Massachusetts and other states’ results show this approach can be highly effective. 

For example, the Massachusetts photo processing industry’s compliance with one 

water quality requirement rose from 60 percent to 98 percent under ERP. Similarly, 

in Florida, the average number of environmental violations at auto body repair 

shops dropped by 42 percent. 

17 
NCEI’s role in ERP is to help other interested states adopt similar programs. 

Thirteen states and the District of Columbia are now applying this innovative 

approach across 15 business sectors. After experiencing success with an initial sector, 

some states have decided to expand ERP to other sectors. As use increases, so does 

the nature of problems being addressed. For example, a number of states are considering ERP as a sound approach for addressing a widespread challenge—reducing 

leaks to underground storage tanks. With more than 700,000 tanks still in use, 

NCEI developed an ERP workbook that will help states interested in using this 

approach. 

The growth of ERP is an excellent example of how an innovative idea can take 

hold. Massachusetts pilot tested a novel approach to permitting, and based on the 

results, other states are now adapting this approach to better address their own environmental challenges. 

Permitting improvements have also been the priority under an NCEI State 

Innovation Grant program. Since inception, NCEI has awarded 15 states more than 

$2 million to explore a variety of permitting innovations—from watershed-based 

permits to electronic systems that streamline the application process to the ERP 

model described above. These investments represent a strategic approach to permitting reform; we consult with states to determine the permitting improvement priorities, set up a competition to select the best ideas, and then provide resources so the 

testing can begin. The results are beneficial to the states participating in the pilot 

projects and to other states that stand to learn from the results. 

ME VT 

NH MA 

RI 

NJ 

DE 

MD 

VA DC

OH 

KY 

MI 

SC 

NC 

FL 

AL 

WV 

GA 

TN 

IN 

AR 

MO 

OK 

KS 

IL 

IA 

WI 

MN 

NE 

SD 

ND MT 

WY 

CO 

NM AZ 

UT 

NV 

CA 

OR 

ID 

WA 

AK 

CT 

MS 

TX LA 

PA 

NY 

PR 

HI 

Key 

Supporting Innovation in the States 

State Innovation 

Grant Recipient 

18 
For example, many states are interested in more efficient ways of handling stormwater permits. Under the Clean Water Act, these permits are required for millions of 

sources, including many small businesses. With support from the State Innovation 

Grant program, Arizona created a Web-based system that streamlines the stormwater permitting process. The new system, which screens potential applicants and 

directs those that require permits to the appropriate application, reduces the time 

required to obtain a permit from 30 days to four days. Likewise, it reduces the number of state agency staff required to run the program from 30 individuals to less than 

five. In addition to saving state resources, Arizona expects this simplified approach 

will lead more businesses to obtain permits and achieve compliance. 

In Colorado, a new permitting approach led the state to change its law. In 2003, 

Colorado received a State Innovation Grant to test multimedia, EMS-based permits. 

These permits give companies the option of developing a single EMS that includes 

all applicable pollution limits rather than operating with multiple air, water, and 

waste permits. In addition to streamlining the permitting process, this approach 

encourages companies to look at the full range of environmental impacts and the 

best solutions for reducing them. 

Rewarding Environmental Excellence 

In 2004, NCEI took an unprecedented step toward creating a more performancebased regulatory system by issuing a rule that—for the first time in EPA’s 

history—treats environmental leaders differently. The rule reduces regulatory oversight in several areas for the distinguished members of Performance Track. 

Specifically, it reduces reporting required under the Maximum Achievable Control 

Technology provisions of the Clean Air Act and extends onsite storage times 

required under the Resource Conservation and Recovery Act for certain hazardous 

wastes. These benefits are expected to net a $700,000 savings for members during 

the next three years. While these savings are modest, 

they represent a down payment on a larger set of benefits 

that we expect to increase over time. 

With this in mind, NCEI is now working with 

Performance Track members and other stakeholders to 

identify additional regulatory benefits. In September 

2004, for example, NCEI and EPA’s national water program convened stakeholders for a discussion of possible 

incentives that could be offered under the Clean Water 

Act. The discussion focused on expediting permitting, 

19 
reducing monitoring and reporting requirements, allowing voluntary actions in lieu 

of regulatory standards, and other options. NCEI is now taking this input into 

account, as work continues on additional incentives for Performance Track facilities. 

Finding Regulatory Alternatives 

Historically, EPA has dealt with some of the nation’s most serious environmental 

problems, such as air and water pollution, by requiring the best performing pollution 

control technologies. In some cases, this approach is required under federal environmental laws. But in others, there is flexibility to consider alternatives. Such is the 

case with regard to controlling hazardous air pollutants from “area sources” under 

the Clean Air Act. The 1990 amendments require EPA to develop a national strategy to control emissions of 30 hazardous air pollutants from 70 area sources. Because 

the majority of these sources are small businesses, the regulatory burden created by 

the new requirements could be significant for many small business sectors. To lessen 

the potential burden, NCEI is working with the national air program and external 

stakeholders to identify cost-effective strategies for reducing emissions from the various sources. 

Our work with the iron and steel sector has led 

us to investigate an alternative approach for 

addressing emissions from electric arc furnaces, 

the devices used at mini-steel mills for steel 

recycling. These furnaces consume recycled 

steel from shredded automobiles and other 

sources, and they are the fourth leading source 

of mercury air emissions in the United States. 

Requiring emission control technology is one 

option for addressing them. Recognizing a 

potentially better way, however, NCEI launched 

a collaborative partnership that engages 

automakers, automobile dismantlers, shredders, Source: Institute of Scrap Recycling Industries, Inc. 

and steel makers, as well as states and environmental groups in devising an alternative approach. Their efforts are focused on the 

very root of the problem—mercury-containing convenience light switches. While 

these switches are no longer used in domestic manufacturing, they are still found in 

20 
vehicles manufactured before 2003 and can contaminate recycled steel if they are 

not removed before the vehicles are shredded. The affected stakeholders are working 

to create a program to ensure switch removal in a safe, cost-effective manner, knowing the results could have significant influence on the new area source rule. 

NCEI’s sector strategy with the forest and paper industry 

also focuses on regulatory alternatives. In this case, the 

alternative would not be for a single rule, but for a suite 

of air pollution requirements that are expected for the 

industry during the next 15 to 20 years. EPA has begun a 

stakeholder dialogue to consider alternative environmental protection approaches that take into consideration 

the future evolution of industry operations from a technological, economic, and environmental perspective. 

Stakeholders will work collaboratively to define a common future vision of industry trends. This task will 

involve assessing emerging multi-pollutant, air-shed, and 

market-based regulatory models, as well as innovative approaches outside the current regulatory framework. The sector-based effort has the potential to define more 

effective performance models that will provide better coordination of existing and 

future industry requirements, increased flexibility to achieve requirements, incentives for continuous improvement, and a stronger focus on environmental results. 

Addressing Regulatory Barriers 

NCEI’s work with business and community stakeholders provides many insights into 

how well environmental programs and rules are working or where a requirement 

inadvertently hinders environmental improvements. NCEI works to eliminate these 

regulatory barriers in a number of ways; for example, many industries today are 

interested in reducing, reusing, and recycling materials that are considered waste 

under the Resource Conservation and Recovery Act (RCRA). In November 2003, 

NCEI held the first NCEI Environmental Policy Forum to examine barriers to these 

environmentally beneficial practices and devise recommendations for addressing 

them. The recommendations were later presented to EPA’s national waste program 

to help inform RCRA policy decisions. 

21 
A Culture of Creative Environmental 

Problem-Solving 

Although innovative solutions can occur in a moment of quick, brilliant insight, 

most evolve in a far less dramatic fashion. They are a result of many factors, including creative thinking, a willingness to try new ideas and, in the case of organizations, support from the top leadership. This section shows how NCEI is working to 

create a culture of creative environmental problem-solving within EPA and within 

other organizations that share our interests in improving environmental results. 

Transcending Organizational Barriers 

While EPA’s individual programs and regions often pursue innovative approaches for 

improving results in a particular area, some concepts may be relevant for many or 

even all parts of the Agency. With its multimedia perspective, NCEI is uniquely 

positioned to recognize these cross-cutting opportunities and to bring together EPA’s 

senior leadership to address them. This is accomplished through the EPA 

Innovation Action Council (IAC) that is made up of EPA’s Deputy Assistant 

Administrators and Deputy Regional Administrators. 

Working in cooperation with NCEI, the IAC sets the Agency’s overall innovation 

strategy and brings extensive experience to bear in addressing policy and management issues related to innovative approaches. In the past year, the IAC has been 

instrumental in addressing an increasingly important issue for EPA—improving 

Agency management of a growing set of voluntary stewardship programs, such as 

ENERGY STAR® and WasteWise. During a six-month period, the IAC inventoried 

and evaluated voluntary programs and instituted a number of reforms to improve the 

quality of program design and coordination among programs within the Agency. 

These reforms will simplify participation for external customers and help ensure that 

EPA’s investments in voluntary programs are achieving the best possible results. 

22 
The IAC has also been engaged in the development of several multimedia strategies 

for EPA. The Small Business, EMS Research, and Smart Growth strategies described 

earlier in this report have all been crafted with IAC input. In addition, the IAC has 

played a key role in making innovation investment decisions. Part of its job is to 

look across the spectrum of initiatives and decide which ones merit use on a larger 

scale. For example, EPA’s decision to promote Massachusetts’ ERP program to other 

states was based in large part on IAC endorsement. More recently, the IAC has 

focused on expanding Performance Track. This expansion will be accomplished by 

working on additional incentives and by promoting the program to states that have 

considerable influence on how those incentives are applied. 

. 

problems and a variety of tools and approaches that are 

Sharing Innovation Results 

In 2004, NCEI released Innovating for Better Environmental 

Results: A Report on Progress from the Innovation Action Council

The report highlights EPA’s progress under a comprehensive 

innovation strategy released in 2002. It describes innovative 

approaches being used to address priority environmental 

enhancing environmental problem-solving. It also describes 

how EPA is strengthening its innovation efforts with states and tribes and fostering innovation internally through the Agency’s culture and organizational systems. 

These descriptions provide numerous insights into how environmental programs 

are evolving to meet the demands of today’s world, and highlights how important innovation is for sustaining environmental progress. 

Supporting Evaluation 

Although routinely tracking results and periodically evaluating overall performance 

are important for all programs, these actions are especially important when dealing 

with relatively new concepts. To assess how well innovations and other programs are 

working and to support the transformation to a more performance-based environmental protection system, NCEI teamed up with EPA’s Office of the Chief Financial 

Officer to provide resources for programs to conduct evaluations and develop performance measures. Contractor expertise and financial assistance are provided 

through an annual Improving Results Competition. 

23 
Evaluation of innovative projects is one of the 

competition’s main focus areas. For example, 

the national waste program received support 

in 2003 to evaluate rules that are designed to 

increase flexibility in the management of certain hazardous wastes under RCRA, and ultimately, increase hazardous waste recycling. 

The evaluation revealed key factors that influence hazardous waste recycling decisions and 

led to recommendations that could help the 

program increase recycling opportunities in the future. Another recipient is focusing 

on the effectiveness of the Hospitals for a Healthy Environment Program—a voluntary initiative that encourages members to prevent healthcare waste and targets the 

virtual elimination of mercury-containing waste from the healthcare sector by 2006. 

The results will help EPA make program improvements and identify successful 

approaches that can be shared throughout the healthcare sector. Although these and 

other evaluation efforts will help improve results of the select programs, they will 

also build critical skills that will help improve many more environmental initiatives 

in the future. 

Guide to 

■ 

■ 

■ 

■ 

■ 

■ 

Guiding Innovation Analysis 

To help innovators inside and outside of EPA, NCEI released a 

Analyzing Environmental Innovations in 2004. Based on innovation theory and the 

experiences of EPA’s own innovation practitioners, this new resource provides 

analytical guidance on all phases of the innovation process—from startup to 

testing to diffusion. Now out for public comment, it consists of six modules that 

can help users think critically about how to: 

Describe their innovation 

Assess environmental results 

Determine cost-effectiveness 

Assess the practical enforceability 

Evaluate the effectiveness of public involvement 

Determine transferability 

24 
Building evaluative skills is also the driver behind NCEI’s new performance measurement training. Recognizing that performance measures are the building blocks for 

the evaluation process, NCEI developed a training course to help EPA and state 

staff develop and apply these important management tools. More than 385 individuals received training this past year. 

Improving Public Involvement 

Involving the public in the development of innovative approaches can be another 

useful way of obtaining information to improve environmental programs. Indeed, 

outside parties can provide EPA and other regulatory agencies with valuable insights 

that help inform environmental decisionmaking. 

Given its importance, NCEI issued a new public 

involvement policy for EPA in 2003. The new policy 

provides EPA with guidance on effective means of 

involving outside stakeholders in environmental decisionmaking. The first revision in more than 20 years, it 

reflects the experiences EPA has gained with public 

involvement during the last two decades and some profound changes that have occurred in that timeframe. 

For instance, the previous policy had no references to 

what is now a powerful and commonly used tool for 

communicating with stakeholders—the World Wide 

Web. 

Along with providing policy leadership, NCEI also acts as a clearinghouse for public 

involvement information. Guidance is offered on a range of topics, such as how to 

involve the public in siting a hazardous waste landfill, how to run a negotiated rulemaking, and how to engage effectively with Indian tribes. 

Fostering Collaborative Problem-Solving 

Although EPA has a long and successful history of working with outside parties to 

address environmental priorities, in 2004, the Administrator challenged EPA to 

raise this concept to a new level. Recognizing the importance of involving others in 

efforts to address an increasingly complex set of challenges, the Administrator 

directed a team from NCEI and the Innovation Action Council to explore ways of 

improving collaborative problem-solving within the Agency. As a result, several 

25 
capacity-building efforts are underway. For example, EPA managers in the Senior 

Executive Service have received training on how to use collaborative approaches in 

their programs and regions. In addition, NCEI led the development of a first-ever 

EPA policy to guide collaborative decisionmaking processes. The policy recognizes 

collaboration as one of many tools EPA can use to achieve environmental results, 

and that when used effectively, it can be a powerful means of achieving environmental goals. Through its multimedia performance programs like Smart Growth and 

Sector Strategies, NCEI also works on the ground to demonstrate the effectiveness 

of collaborative problem-solving in tackling challenging environmental problems. 

Mainstreaming Innovation 

To maximize the value of proven approaches, NCEI strives to share information and 

results that can be helpful to others. For example, in 2004, we developed an 

“Innovation Toolkit for Rulewriters.” This new resource gives EPA staff information 

about alternative regulatory approaches so they can consider options before making 

important regulatory decisions. 

Another example is a new international innovation Web site. 

This online resource allows users 

inside and outside the Agency to 

explore numerous innovative 

initiatives being undertaken 

around the world to address 

challenging environmental problems. It provides access to environmental policies and best 

practices; links to journals and 

www.epa/gov/innovation/international databases; case studies involving 

innovations in air, toxics, waste, 

and water issues; as well as multimedia approaches, such as EMS, sustainable transport, and smart growth. Information is also available on state and local initiatives 

with international partners that have resulted in creative environmental solutions, 

such as constructed wetlands to treat wastewater, green buildings and renewable 

energy to address climate change and air pollution, and industrial ecology to achieve 

pollution prevention in the United States. Users can also find information about 

international fellowships as well as evaluations of innovation programs. 

26 
Supporting State-Led Innovation 

Because much of the on-the-ground work associated with environmental programs 

happens at the state level, states are arguably in the best position to see how well 

various programs are working and to develop innovative strategies for improving 

them. NCEI invests considerable effort in supporting this critical aspect of state 

work. For example, NCEI launched the State Innovation Grant Competition, 

described earlier, to provide states extra resources for innovative pursuits. NCEI has 

also invited states to be part of the IAC meetings so their views about policy issues 

related to innovative approaches can be raised at EPA. Helping states learn about 

innovations, like ERP, is yet another way. All of these efforts are contributing to a 

stronger relationship between states and EPA, and building more capacity for innovative environmental problem-solving. 

One sign of this is a joint innovation work 

plan between states and EPA that focuses on 

a set of priority issues. These include the 

development of Community Actions for a 

Renewed Environment, or CARE, a voluntary program for reducing exposure to toxic 

pollutants at the community level. Another 

priority focuses on increasing the number of 

pollution budgets (known technically as 

“total maximum daily loads” or TMDLs) 

that are required under the Clean Water 

Act for rivers, lakes, and other water bodies Photo courtesy of USDA NRCS 

that are not meeting water quality goals. 

These budgets can be very time-consuming and resource-intensive to prepare, and so 

NCEI is working with states to identify innovative approaches for completing them 

faster and cost-effectively. 

27 
Closing 

Since our launch, NCEI has made steady progress toward goals that are important 

for achieving the next generation of environmental progress. The Center has put 

mechanisms in place to support innovation in many aspects of EPA’s work, and we 

continue building strong partnerships—inside and outside the Agency—with others 

that share an interest in improving environmental results. 

Previous experience has shown us that the kinds of changes we are working to bring 

about can take time. Indeed, the Environmental Results Program described in this 

report, which is now being replicated in other states, began as a pilot project in the 

late 1990s. Likewise, some of the current proposals for improving environmental 

regulation reflect learning from pilot projects that have been underway for several 

years. 

Looking ahead, NCEI will continue to explore innovative approaches to environmental protection. In doing so, we expect to gain new information, insights, and 

models that are needed to transform our environmental protection system and to 

assure continued progress. 

28 
For More Information 

Learn more about NCEI and innovation at EPA by visiting 

<www.epa.gov/innovation> 

Address: National Center for Environmental Innovation 

U.S. EPA 

MC 1808T 

1200 Pennsylvania Ave., NW 

Washington DC 20460 

Telephone: (202) 566-2119 
1EPA

United States Environmental Protection Agency (1808T) Washington, DC 20460 Official Business Penalty for Private Use $300 EPA100-R-05-001 February 2005 

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