Document ID: EPA-HQ-OPPT-2013-0579-0002
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2013-11-27T05:00Z

November 20, 2013 PUBLIC COMMENTS SOUGHT: 
Draft Guidelines for Product Environmental Performance Standards & Ecolabels for Voluntary Use in Federal Procurement
DRAFT GUIDELINES FOR PRODUCT ENVIRONMENTAL PERFORMANCE STANDARDS & ECOLABELS
                                       #
                                Guideline Name
                                   Guideline
                                      B/L
                              Source of Guideline
                               Other References
Section I: Guidelines for the Process for Developing  Standards
                                       1
Open Participation
Reasonable efforts were made to ensure participation was open to all directly and materially affected persons. There was no undue financial barrier for participation.
                                       B
ANSI Essential Requirements
ISO 14024; ISO 14020; ISO/ IEC Guide 59; IFAN 1
                                       2
Voting Open
Voting membership on decision-making body was not conditional upon membership in any organization. 
                                       L
ANSI Essential Requirements 
IFAN; WTO TBT Annex 3 & Decision G/TBT/9
                                       3
Reasonable Voting Qualifications
Voting membership on decision-making body was not unreasonably restricted on basis of technical qualifications or other such requirements. 
                                       B
ANSI Essential Requirements 
IFAN; WTO TBT Annex 3 & Decision G/TBT/9
                                       4
Progress/Updates are Communicated
Timely and adequate notice of standards activity was announced in suitable media as appropriate to demonstrate the opportunity for participation by all directly and materially affected persons.
                                       B
ANSI Essential Requirements 
ISO/IEC Guide 59; WTO TBT Annex 3
                                       5
Transparent
The process was transparent through significant stages of the standard's development and operation.[2]
                                       B
ISO 14024 
ANSI Essential Requirements; ISO 14020; ISO/IEC Guide 59; WTO TBT Annex 3 & Decision G/TBT/9
                                       6
Consideration of All Viewpoints
The standards development process included fair and equitable consideration of all viewpoints. 
                                       B
ANSI Essential Requirements
IAF; IFAN; ISO 14020; ISO 14024
                                       7
Diversity of Interests
Participation from diverse interest categories was actively sought with the objective of achieving balance so that no single interest category constitutes a majority of the membership of the decision-making body.[3]
                                       B
ANSI Essential Requirements
IAF; IFAN
                                       8
No Funding Conflicts
Funding sources for standards development did not create conflicts of interest.
                                       B
ISO 14024 
ISO/IEC Guide 59; IFAN
                                       9
Consensus Effort
Reasonable efforts were made to achieve consensus throughout the process; prompt consideration was given to all views, and evidence of consensus[4] reached was documented.
                                       B
ISO 14024
ANSI Essential Requirements; IFAN; WTO TBT Annex 3 & Decision G/TBT/9
                                      10
Effort to Resolve Objections
An effort to resolve all objections was made in a fair and unbiased way. Commenters were informed of the resolution of their comments and advised of their right to appeal.
                                       B
ANSI Essential Requirements
ISO 14020; ISO 14024; WTO TBT Annex 3 & Decision G/TBT/9
                                      11
Appeals Mechanism
Written procedures contain an appeals mechanism for the prompt and impartial handling of procedural complaints regarding any action or inaction of the decision-making body. 
                                       B
ANSI Essential Requirements
ISO/IEC Guide 59; IFAN
                                      12
Appeals Open 
Appeals procedures provide for participation by all parties concerned without imposing an undue financial or administrative burden on them.
                                       B
ANSI Essential Requirements

                                      13
Good-faith on Conflicts
A standards developing organization shall make a good-faith effort to resolve potential conflicts with the requirements of other existing standards and to coordinate standardization activities.
                                       B
ANSI Essential Requirements
ISO 14020; ISO 14024;; IFAN; WTO TBT Annex 3 & Decision G/TBT/9
                                      14
Standards Updated 
Standards are revised or reaffirmed every five years at minimum.
                                       B
ANSI Essential Requirements
ISO 14020; ISO 14024; IFAN
Section II: Guidelines for the Environmental Effectiveness of the Standards
                                       1
Functional Performance
Final product standards require that the product's functional performance is consistent with comparable conventional products or standard industry test methods. 
                                       B
FAR 23.103 Sustainable acquisitions: (c) The required products in the contract actions
ISO 14024
                                       2
Align with Relevant Standards
To avoid duplication or confusion in the marketplace, standards for green products align with relevant existing standards, including building upon existing, federal, regional, national, and international standards where relevant to the scope and goals of the standard.
                                       B

ISO 14024; WTO TBT Annex 3
                                       3
Measurability
The product environmental performance criteria are measurable.
                                       B
ISO 14024

                                       4
Credible Scientific Reasoning
The criteria reflect a credible scientific reasoning process and reference, incorporate or are based on the best available science.
                                       B
ISO 14024 

                                       5
Performance-Based
The criteria are performance-based when such criteria may reasonably be used in lieu of prescriptive criteria.
                                       L
OMB A-119

                                       6
Lifecycle Stages
The standard's developer considered the full range of product life cycle stages. Exclusion of a significant lifecycle stage is explained in the standard or other appropriate, publicly available documentation. [6]
                                       L
ISO 14024

                                       7
Multiple Environmental Attributes
Standards developers considered the full range of environmental attributes. Exclusion of a significant environmental attribute is explained in the standard or other appropriate, publicly available documentation.[7]
                                       L

ISO 14024
                                       8
Weighting Methodologies
If a standard uses methodologies to weight and aggregate multiple attributes into a single score, those methodologies are well-documented in the standard. 
                                       B

                                       9
Hotspots 
Where there are certain lifecycle stages or attributes that dominate the opportunity for environmental improvement, those significant attributes (or "hotspots") are clearly defined and given greater emphasis in differentiating environmental performance. If additional attributes are addressed, the standard clearly identifies any known trade-offs between attributes.[8]
                                       B

ISO 14024; FTC
                                      10
Significant Measurable Difference
Product environmental criteria differentiate products from others in the product category, based on a significant measurable difference in environmental impact for the environmental attribute(s) for which the product makes a claim. 
                                       B
ISO 14024
FTC
                                      11
Intrinsic Hazards
Product environmental criteria focus on the intrinsic hazards of chemicals, and require safer substitutes to the extent possible, considering existing data and availability of functional alternatives.[9]
                                       L

                                      12
Ingredient Disclosure
The standard encourages manufacturers to disclose ingredients in products (to other businesses in the supply chain and/or consumers).[1][0]
                                       L

                                      13
Impact Assessment Disclosure
The standard encourages manufacturers to disclose the results of life cycle assessments and other product environmental or human health assessments that have been conducted.[1][1]
                                       L

Section III: Guidelines for Conformity Assessment[1][2]
                                       1
Follow Relevant Standards 
Conformity assessment bodies follow relevant International Standards, and other normative documents.

                                       B
ISO/IEC Guide 65 
ISO/IEC 17050-1 & -2
                                       2
Independence
The decision-making process of bodies involved in conformity assessment (including those evaluating, inspecting and testing conformity to standards) are independent from those organizations to whom they are providing their services.
                                       B
ISO/IEC Guide 65
ISO/IEC 17011, 17020 and 17021
                                       3
Slide Fee Scale
Conformity assessment bodies offer a sliding scale of certification fees in order to be accessible to small businesses.
                                       L

                                       4
Accreditation
Conformity assessment bodies are accredited as being in compliance with relevant International Standards, and other normative documents. 

                                       L
ISO/IEC Guide 65
ISO/IEC 17050-1& 2,17020,17021, 17025,ISO 17011
                                       

OR apply the evaluation factors below, which are consistent with the requirements of internationally accepted standards for operations of a conformity assessment body.
                                       _

                                      4.1
Objective & Impartial Structure
Conformity assessment bodies are structured in such a way that they are able to provide an objective and impartial evaluation of conformity. Decisions are based on the objective evidence of conformity (or nonconformity) obtained by the body.
                                       B
ISO/IEC Guide 65
ISO/IEC 17021
                                      4.2
Free from Undue Pressures
Conformity assessment bodies ensure that management and personnel are free from any undue commercial, financial and other pressures that could compromise the confidentiality, objectivity or impartiality of its process and decisions.
                                       B
ISO/IEC Guide 65
ISO/IEC 17011,17025, ISO 14024
                                      4.3
Documented Procedures
The conformity assessment process followed has documented procedures
                                       B
ISO/IEC Guide 65 
ISO/IEC 17021
                                      4.4
Take All Necessary Steps to Evaluate Conformance
Conformity assessment bodies take all steps necessary to evaluate conformance with the relevant product standard requirements.
                                       B
ISO/IEC Guide 65

                                      4.5
Role Separation
Each decision on conformity is taken by a person(s) different from those who carried out the evaluation of conformity.
                                       L
ISO/IEC Guide 65

                                      4.6
Certification Conditions Specified
The conditions for granting, maintaining and extending certification and the conditions under which certification may be suspended or withdrawn, partially or in total are specified in the conformity assessment process.
                                       B
ISO/IEC Guide 65

                                      4.7
Records Management
Conformity assessment bodies establish and maintain procedures to control all documents and data that relate to its functions. Records are identified, managed and disposed of in such a way as to protect the confidentiality of conformity assessment related information.
                                       B
ISO/IEC Guide 65
ISO/IEC 17011,  17020, 17021, I17025
                                      4.8
Dispute Resolution Procedures
Conformity assessment bodies have documented policies and procedures for the resolution of complaints, appeals and disputes.
                                       B
ISO/IEC Guide 65
ISO/IEC 17011, 17021
                                      4.9
Chain-of-Custody Procedures
The conformity assessment bodies have effective traceability or chain-of-custody procedures where this is necessary to ensure qualified products meet the standard
                                       L

                                     4.10
Periodic Evaluation of Marked Products
Where a conformity assessment body authorizes the continuing use of its mark on products of a type which have been approved to carry the mark it periodically evaluates the marked products to confirm that they continue to conform to the standards.
                                       L
ISO/IEC 17030

                                     4.11
Content of Declarations of Conformity
Declarations of conformity contain at least information on the identity of the issuer of the declaration, the object of the declaration, the standards or other specified requirements with which conformity is declared, and the person signing for and on behalf of the issuer of the declaration of conformity.
                                       B
ISO/IEC 17050-1

                                     4.12
Suitable Action for Misuse
Incorrect, misleading, or unauthorized use of licenses, certificates, or conformity marks is dealt with by suitable action (from the mark owner).
                                       B
ISO/IEC Guide 65, 17030

                                     4.13
Quality Objectives
Conformity assessment bodies define and document commitment to fulfilling quality objectives.
                                       B
ISO/IEC Guide 65

                                     4.14
Sufficient Personnel
Conformity assessment bodies employ a sufficient number of personnel having the necessary education, training, technical knowledge and experience for performing conformity assessment functions.
                                       B
ISO/IEC Guide 65
ISO/IEC 17011,
17020 17021, 17025
                                     4.15
Adequate Facilities & Equipment
Conformity assessment bodies have available suitable and adequate facilities and equipment to permit all required activities to be carried out.
                                       B
ISO/IEC Guide 65

                                     4.16
Transparent Process
Certification bodies provide public access to or disclosure of, appropriate and timely information about the certification processes; including its rules and procedures for granting, maintaining, extending, suspending and withdrawing certification.
                                       B
ISO/IEC Guide 65 
 ISO/IEC 17021
                                     4.17
Information on Fees
General information on the fees charged to applicants is provided.

                                       B
ISO/IEC Guide 65

                                     4.18
Information on Financial Support
Public access to, or disclosure of, a description of the means by which the conformity assessment body obtains financial support is provided.
                                       L

 
                                     4.19
Information on Scoring
Conformity assessment bodies make publicly available the scoring, credits and levels achieved by products which conform to the standard. 
                                       L

Section IV: Guidelines for the Management of Ecolabeling Programs[1][3]
                                       1
Document Commitment to Quality
Programs define and document their policy, objectives for, and commitment to quality.
                                       B
ISO/IEC Guide 65

                                       2
Evaluate Effectiveness

The program evaluates the effectiveness of the standard in reducing environmental impacts.
                                       L

                                       3
Dispute Resolution Process
The program has a documented policy and procedure for the resolution of complaints, appeals and disputes.
                                       B
ISO/IEC Guide 65
ISO 17011
                                       4
Disclose Stakeholders
Stakeholders who are involved in the ongoing governance and/or operations of the program are disclosed.
                                       L

                                       5
Balance of Interests
Formal rules and procedures provide for a balance of interests among stakeholders in program governance.
                                       L

ISO/IEC Guide 65 
                                       6
Free from Undue Pressures
Programs ensure that management and personnel are free from any undue commercial, financial and other pressures that could compromise the confidentiality, objectivity or impartiality of their operations and decisions.
                                       B
ISO/IEC Guide 65
NRDC
                                       7
Limit Administrative Requirements
Administrative ecolabel program requirements are limited to those necessary to establish conformance and operate the program. 
                                       L
ISO 14020

                                       8
Information on Financial Support
Public access to, or disclosure of, a description of the means by which the conformity assessment body obtains financial support.
                                       L
ISO 14024
ISO 14020
                                       9
Information on Fees
General information on the fees charged to applicants is provided. 
                                       B
ISO/IEC Guide 65, ISO 14024
ISO 14020
                                      10
Publicly Available Criteria
The ecolabel's criteria and/or standard are publicly available.[1][4]
                                       B
ISO/IEC Guide 65
ISO 14024; ISO 14020; ISEAL Code; IAF
                                      11
Grant the Use of the Mark
The ecolabel program grants the use of the label, mark or declaration when the applicant and its products meet the administrative and technical requirements for the program.
                                       B
ISO 14024

                                      12
Suitable Action for Misuse 
Incorrect, misleading, or unauthorized use of licenses, certificates, or conformity marks is dealt with by suitable action (from the mark owner).
                                       B
ISO 14024
ISO/IEC 17030
                                      13
Mutual Recognition
Mutual recognition among ecolabels and standards is encouraged, and may include the mutual recognition of tests, inspections, conformity assessment, and administrative procedures and, where appropriate, product environmental criteria.
                                       L
ISO 14024

                                      14
Publicly Available Directory
The program provides a publicly available directory of labeled products and their suppliers.
                                       B
ISO/IEC  Guide 65 
ISO/IEC 17021; ISO 10424
                                      15
Current Directory
The directory of labeled products and their suppliers is kept current.
                                       B
ISO/IEC Guide 65
ISO/IEC 17021
                                      16
Searchable Directory
Information in the directory of labeled products and their suppliers is provided in searchable format.
                                       L

ISO 14024
                                      17
Regional Information
The program provides information on labeled products availability in regional markets. 
                                       L
ISO 14020

                                      18
Analyses of Market Uptake
The program conducts periodic analyses of the uptake of the ecolabel in the marketplace and discloses the results.
                                       L

Notes:
   1. IAF International Accreditation Forum: http://www.iaf.nu; IFAN International Federation of Standards Users: http://www.ifan.org; ISO: http://www.iso.org; ISEAL:  http://www.isealalliance.org/code
   2. Transparency implies that information was available to interested parties for inspection and comment where appropriate; and includes selection of product categories; selection and development of product environmental criteria; and product function characteristics.
   3. While this baseline represents an acceptable level of balance, additional steps have been taken by a number of standards development organizations to further ensure a balance of diverse interests (e.g., limiting number of votes per organization, confirming accuracy of affiliations, actively recruiting additional members from other stakeholder categories). Such proactive approaches could be recognized as leadership. 
   4. According to the Office of Management and Budget (OMB) Circular A-119, consensus "is defined as general agreement, but not necessarily unanimity, and includes a process for attempting to resolve objections by interested parties, as long as all comments have been fairly considered, each objector is advised of the disposition of his or her objection(s) and the reasons why, and the consensus body members are given an opportunity to change their votes after reviewing the comments." http://www.whitehouse.gov/omb/circulars_a119#4 Consensus is implemented by standards development organizations in many different ways. For example, some require 75 percent approval of an action while others might require 66 percent or 50 percent for the same action to be approved.
   5. A conflict exists when the terms of a standard are inconsistent or incompatible with the terms of the other standard to the extent that implementation of one standard would preclude proper implementation of the other.
   6. Life cycle stages of a product include sourcing of raw materials, to manufacturing, packaging, transportation, distribution, retailing, use of the product, and management of the product when it is no longer needed (through reuse, repair, upgrading, recycling, or safe disposal). The Federal government recognizes that performing full lifecycle assessments (LCA) is challenging at this time due to cost, access to data, and uncertainties associated with the methodologies and tools. Therefore, this guideline intends to encourage standards developer to use life cycle thinking as they develop criteria for products.
   7. When a standard does not address a significant or major environmental attribute (aka "hotspot"), standards developers are encouraged to explain its exclusion. The intent is to ensure clarity about the relevance of environmental attributes that may be included (or excluded) from the standard. Environmental attributes include, but are not limited to, human and environmental toxicity, environmental fate, air pollution, climate change, stratospheric ozone depletion, natural resource depletion, and water quality.
   8. Depending on the product and application, it may be appropriate to develop standards that address those significant attributes, and do not include other, less relevant, attributes or life cycle stages. However, if reliable evidence is available to meaningfully differentiate the performance of that product based on additional environmental attributes of concern or lifecycle stages (e.g., packaging, energy use in manufacturing, etc.), standards for green products should consider addressing those attributes, as well. Claims about products meeting environmental standards should be consistent with the standard's scope and avoid broad claims of environmental performance if other factors were not considered when the standard was developed (e.g. WaterSense is clearly about water, ENERGY STAR about energy, etc.).
   9. A hazard-based approach, grounded in Green Chemistry principles, can reduce the use of hazardous substances, and lower overall risk to people and the environment. Key to this focus is an understanding of the potential hazards of chemicals in products and availability of safer alternatives. 
   10. The intent of this guideline is to encourage greater disclosure, while recognizing a number of challenges in doing so for manufacturers, including supply chain complexity and intellectual property confidentiality. 
   11. Sound human health and environmental decisions regarding the manufacture, purchase, use, and disposal of products depend on reliable and accessible data on the human health and environmental impact of those products. The intent of this guideline is to encourage the appropriate and voluntary sharing of this information, when it is available, so that others may learn and benefit.
   12. If a standard does not have an associated second- or third-party conformity assessment program, or it is determined that a supplier's declaration is sufficient for a particular product standard, then this category of Guidelines would not be applicable.
   13. The Management of Ecolabeling Programs Guidelines would not apply to product environmental standards that are not associated with an ecolabel.
   14. Publicly available means generally available to all without restriction (other than a fee for purchasing the standard or similar such requirement).