[Federal Register Volume 65, Number 167 (Monday, August 28, 2000)]
[Notices]
[Pages 52107-52111]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-21915]


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ENVIRONMENTAL PROTECTION AGENCY

[FRL-6858-4]


Solicitation Notice for National Performance Track Program

AGENCY: Environmental Protection Agency (EPA).

ACTION: Solicitation notice.

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[[Page 52108]]

SUMMARY: This document solicits cooperative agreement proposals from 
state environmental agencies to support the on-going work of states and 
establishment of programs to recognize facilities whose environmental 
performance exceeds minimal compliance. The Environmental Protection 
Agency (EPA) is prepared to assist state programs that assess and 
monitor the performance of facilities within the individual state. 
Where states have an existing program, this cooperative agreement will 
serve as a vehicle to enhance those programs. Where states have no 
existing program but plan to develop one this cooperative agreement 
will serve as seed money for program development. In particular, EPA 
seeks to support state efforts to: evaluate the impact of the national 
program on State policies, rules, and regulations; evaluate program 
implementation and effectiveness; and analyze and disseminate 
performance data.

DATES: Original proposals and one copy must be mailed to EPA and 
postmarked no later than September 11, 2000. EPA expects to announce 
the awards by October 1, 2000.

ADDRESSES: An original and one copy of the proposal should be mailed to 
EPA headquarters in Washington, DC at the following address: Julie C. 
Taitt, Administration and Budget Management Team, U.S. EPA, Office of 
Policy, Economics, and Innovation, 1200 Pennsylvania Avenue, N.W. (MC 
1803), Washington, DC 20460; telephone (202) 260-9230.

FOR FURTHER INFORMATION CONTACT: For technical assistance in 
preparation of your proposals, please contact Dan Fiorino at (202) 260-
2749, Chuck Kent at (202) 260-2462 or Ken Munis at (202) 260-9560. For 
administrative assistance in preparation of your proposals, please 
contact Julie Taitt at (202) 260-9230.

Environmental Protection Agency

Solicitation Notice: National Performance Track Program

Contents

Section I  Background
Section II  Eligible Applicants and Activities
Section III  Funding
Section IV  Requirements for Proposals
Section V  Evaluation and Award Criteria
Section VI  Proposals
Section VII  Recipient Responsibilities
Section VIII  Other Information
Section IX  How To Apply
Section X  Program Contacts

Section I--Background

A. Background
    This document solicits cooperative agreement proposals from state 
environmental agencies to support the on-going work of states and 
establishment of programs to recognize facilities whose environmental 
performance exceeds minimal compliance. The Environmental Protection 
Agency (EPA) is prepared to assist state programs that assess and 
monitor the performance of facilities within the individual state. 
Where states have an existing program, this cooperative agreement will 
serve as a vehicle to enhance those programs. Where states have no 
existing program but plan to develop one this cooperative agreement 
will serve as seed money for program development. In particular, EPA 
seeks to support state efforts to: (1) evaluate the impact of the 
national program on State policies, rules, and regulations, (2) 
evaluate program implementation and effectiveness; and (3) analyze and 
disseminate performance data.
    This solicitation notice contains all the information necessary to 
prepare a proposal. EPA Administrator, Carol Browner announced this 
program on June 26, 2000. The Environmental Protection Agency is 
offering financial support for state programs which recognize and 
encourage facilities that achieve better environmental performance than 
is required under existing regulations. EPA operates a National 
Performance Track Program at the Federal level as well. Because EPA 
expects to be ``substantially involved'' in the activities receiving 
financial assistance under this Notice of Funding Availability, the 
Agency has determined that a cooperative agreement is the appropriate 
funding instrument. EPA anticipates funding of approximately $700,000 
for this program, subject to appropriations and the availability of 
funds. These cooperative agreements require no matching funds.
B. Environmental Performance Track Program
    EPA's National Environmental Performance Track program is designed 
to recognize and encourage top environmental performers--these who go 
beyond compliance with regulatory requirements to attain levels of 
environmental performance and management that benefit people, 
communities, and the environment--at the Federal level. The Agency is 
offering financial assistance to states to help carry out similar 
efforts at the state level by our ``co-regulator'' colleagues.
    Our system of environmental protection continues to evolve. There 
is a growing recognition that government should complement existing 
programs with new tools and strategies that not only protect people and 
the environment, but also capture opportunities for reducing costs and 
spurring technological innovation.
    Over the last several years, EPA has joined states, businesses, and 
community and environmental groups in experimenting with new approaches 
that achieve high levels of environmental protection with greater 
efficiency. Likewise, many states have developed innovative programs 
for improving environmental performance.
    This Notice of Funds Availability builds upon the lessons EPA has 
learned from several state leadership programs and from its own 
efforts. We have learned that innovations in environmental management 
can be used to create strategic business opportunities and advantages 
while maximizing the health and productivity of our ecosystems and 
communities. We have learned the importance of keeping innovation 
programs simple and their transaction costs low. We know that we must 
focus on performance, not just the means of achieving it, and derive 
measurable results.
    EPA's National Environmental Performance Track program will 
recognize innovation, motivate others to improve, and complement 
existing regulatory activities. It also emphasized the importance of 
effective state/EPA partnerships and the need to inform and involve 
citizens and communities. Throughout the development of its National 
Environmental Performance Track program, EPA has consulted closely with 
state officials, including a national forum to discuss state programs, 
issues, and participation. These consultations indicated that states 
could make effective use of relatively small amounts of EPA financial 
assistance.
C. Due Date and Award Schedule
    An original proposal signed by an authorized representative of the 
state, plus one copy must be mailed to EPA postmarked no later than 
September 11, 2000. This is not a competitive program, therefore all 
viable proposals received from states by the postmarked dates will be 
reviewed and considered for award. EPA expects to announce the awards 
by October 1, 2000. Applicants should anticipate project start dates 
beginning October 2000.

[[Page 52109]]

D. Funding Limits Per Proposal
    The total funding for this program is approximately $700,000. If 
all fifty (50) states, and the District of Columbia apply for 
assistance the total amount of funding potentially available to each 
state is approximately $14,000. This amount of funding is contingent 
upon a number of factors, such as whether the state has an existing 
program to identify high environmental performers or whether a state 
anticipates a large number of facilities that will apply to become a 
part of the program, or whether there is no existing state program but 
one will be initiated. The specific funding scenarios are fully 
described in Section III, Funding.

Section II--Eligible Applicants and Activities

E. Eligible Applicants
    Entities eligible to receive funding from the Environmental 
Protection Agency under this proposed program are the fifty (50) states 
of the United States of America and the District of Columbia. States 
are invited to participate regardless of their previous level of 
experience with evaluating, assessing, and recognizing facilities with 
higher than minimal environmental performance.
F. Multiple or Repeat Proposals
    It is not necessary for any eligible state entity to provide 
multiple or repeat proposals. No state will be awarded more than one 
cooperative agreement for the same project during the same fiscal year. 
The one cooperative agreement that is awarded will encompass all the 
programmatic activities and elements. EPA does not generally sustain 
projects beyond the initial award period.
G. Eligible Activities
    This program is geared toward providing money to advance and 
enhance existing state environmental performance track programs, 
support new state environmental performance track program efforts, 
increase knowledge about the effectiveness of performance based 
programs. Activities to be funded in this solicitation include:
    1. Studies and investigations of state environmental policies, 
rules, and regulations affected by incentives proposed in the 
Performance Track program. This task will involve analysis and 
coordination of state ``co-regulation'' efforts in light of the 
proposed consolidated rulemaking put forward by the US EPA, and 
identification of all state policies, rules, and regulations which may 
need to be revised to make them consistent with the proposed changes at 
the national level.
    2. Evaluation of existing state performance track programs. Program 
evaluation involves verifying that the goals of voluntary performance 
track programs have been achieved. The goals of state performance track 
programs may include:
     Public recognition of facilities that have been chosen to 
participate;
     Continuous improvement in environmental performance by 
participating facilities, including achievement of performance targets 
set by the participants for themselves;
     Effective use of program incentives by participants;
     Motivation of participating facilities to improve 
environmental performance; and
     Reduction of the environmental impact of participating 
facilities.
    Evaluation also may include assessment of participants' 
Environmental Management Systems, performance tracking systems, public 
outreach, or other program elements.
    The evaluation process will require occasional travel for on-sites 
to the facilities chosen for this review. Travel costs incurred by 
state employees can be reimbursed under this cooperative agreement to 
the extent allowable under Office of Management and Budget (OMB) 
Circular A-87.
    EPA plans to hold training covering key components of the National 
Environmental Performance Track (e.g., Environmental Management 
Systems, pollution prevention, performance measurement). This training 
may be appropriate for State representative participation. Travel costs 
incurred by state employees participating in this training can be 
reimbursed to the extent allowable under OMB Circular A-87.
    3. Analysis and dissemination of performance data. States will 
collect environmental performance data published by program 
participants for the purpose of assessing program impact, and for 
aggregating and sharing data, where appropriate, with the public. These 
data can be used for public education on the environmental improvement 
measured as a result of this program, as well as sharing performance 
information with other potential candidates for the state's program.
H. EPA's Anticipated Substantial Involvement
    EPA anticipates that it will be substantially involved with state 
recipients in the following four aspects of their work:
    1. EPA is reviewing federal regulations and policies and will 
propose changes that implement the incentives outlined in the National 
Environmental Performance Track program description. EPA will hold 
discussions with states to explain these changes.
    2. EPA will share with states EPA's experience with federal 
voluntary programs. EPA will also communicate with states regarding the 
implementation status of the National Environmental Performance Track 
program on an ongoing basis.
    3. EPA will exchange program information with states that have 
existing performance track-type programs or programs under development. 
EPA will work with states to analyze the similarities and differences 
between the federal and state programs and ultimately to develop a 
worksheet that states and industry can use in determining appropriate 
program participation by specific facilities or companies.
    4. EPA will make available to state employees training on aspects 
of the National Environmental Performance Track, including 
environmental management systems.
    EPA's involvement in these aspects is intended primarily to 
facilitate state work under the tasks indicated in their work plans, 
but also to increase information-sharing and consistency among co-
regulators.
I. Ineligible Activities
    All proposals must focus on activities that are state initiated, 
and that advance state goals (e.g., furthering the state environmental 
performance track program). All training must be for the purpose of 
allowing and facilitating the states to better execute their 
responsibilities. All analysis and data collected by the states as a 
part of this cooperative agreement must be primarily for the purpose of 
providing information on state facilities and their environmental 
performance under the state's program.
    EPA cooperative agreement funds must not be used for:
    1. Revising State policies, rules, and regulations solely to 
implement the National Environmental Performance Track
    2. Establishing ``membership'' in the National Environmental 
Performance Track
    3. Conduct compliance screening for National Environmental 
Performance Track applicants.
    4. Any activity that is unallowable under OMB Circular A-87.

[[Page 52110]]

Section III--Funding

J. Funding
    EPA has approximately $700,000 to support this Notice of Funds 
Availability. This is not a competitive selection process and EPA plans 
to support all state proposals that meet the criteria for funding. 
Although the amount of money available is fixed, it is uncertain how 
many states will apply for funding, therefore the actual award amounts 
are not known. If all 50 states plus the District of Columbia applied 
for funding and were accepted, each cooperative agreement would be for 
approximately $14,000. However, EPA does not expect all 50 states to 
apply for funding in response to this Notice.
    Proposals may ask for an award up to a total of $20,000. For this 
level of funding, the proposal is expected to address each of the three 
eligible tasks (discussed in detail above):
    1. Studies and investigations of state policies, rules and 
regulations affected by incentives proposed in the National 
Environmental Performance Track Program.
    2. Evaluation of performance track programs that recognize and 
reward top environmental performers.
    3. Analysis and dissemination of performance data.
    For States that choose not to addresses each task, proposals may 
focus on a single activity at a $12,000 expected level of funding or 
two tasks at an expected funding level of $15,000.

Section IV--Requirements for Proposals

K. Requirements for Proposals
    The anticipated dollar value of each cooperative agreement to a 
particular state is expected to be under $100,000 so the EPA ``small 
grant'' procedures may be followed. The Environmental Protection Agency 
Application Kit for Federal Assistance (pg. 15) outlines requirements 
for proposals which are listed below. Cooperative Agreement proposals 
must include:
     Application for Federal Assistance (SF 424) with original 
signatures including:

--SF-424A, budget by categories and indirect cost rate
--SF 424B, Assurances for non-construction programs

     Number of Copies: Original and 1 copy
     Debarment and Suspension Certification
     EPA Form 4700-4 Pre-Award Compliance Review Report
     Abbreviated Work Plan and Resume:
    The narrative work plan should not exceed five (5) pages in length. 
The work plan must include a summary of specific objectives, expected 
outcomes and deliverables; and discussion of the budget and how the 
budget relates to the objectives. Provide an overview of your project 
that explains the concept and your goals and objectives. List the types 
of activities for which EPA funds will be spent. Under project 
evaluation explain how you will ensure the goals and objectives are 
met. Evaluation plans may be quantitative and/or qualitative and may 
include, for example, surveys, observation, or outside consultation. 
(See section VI). Resumes of the applicants and/or individuals 
performing this grant should not exceed an additional two (2) pages.
     Key Contact List
     Application Receipt Letter, with your address filled in.
L. Submission Requirements and Copies
    ``One page'' refers to one side of a single spaced typed page. The 
pages must be letter sized (8\1/2\  x  11 inches) with margins at least 
an inch wide and with normal type size (10 or 12 point) rather than 
extremely small type. To conserve paper, please provide double-sided 
copies of the proposal. Do not include other attachments such as cover 
letters, tables of contents, or appendices other than resumes and 
letters of commitment. The SF-424 should be the first page of your 
proposal and must be signed by a person authorized to receive funds. 
Blue ink for signatures is preferred. Proposals must be reproducible; 
they should not be bound. They should be stapled or clipped once in the 
upper left hand corner, on white paper, and with page numbers. Mailing 
addresses are listed at the end of this document.

Section V--Evaluation and Award Criteria

M. Evaluation and Award Criteria
    Proposals will be reviewed and assessed based on their articulation 
of the criteria defined in Sections IV and V of this solicitation. In 
addition the Agency will consider:
    1. Previous efforts completed or underway that are consistent with 
the goals of the National Environmental Performance Track, and
    2. Proposed state efforts in support of the goals of the National 
Performance Track.
    This is purely a voluntary program, with an anticipation that all 
50 states, and the District of Columbia could provide proposals. To 
that extent there is no competition in the usual sense. Any and all 
states that provide a proposal will be considered for an award. The 
amount of the award will be contingent on the number of tasks included 
in the proposal (as previously described).
N. Award Process
    All proposals submitted by states will be evaluated by an EPA panel 
consisting of technical, legal, and administrative personnel 
substantially involved with the National Performance Track Program. 
States may be asked to modify proposals as a result of this review. As 
mentioned previously, it is the intention to award cooperative 
agreement funding to any state that submits a viable proposal that 
meets the requirements of this NOFA.

Section VI--Proposals

O. Work Plans
    All work plans must adhere to the ``small grant'' limit of five 
pages. EPA will accept these short proposals and negotiate specific 
work plans after the award is made. Please assure that proposals are 
complete and contain sufficient detail to facilitate panel review and 
consideration.

Section VII--Recipient Responsibilities

    All projects must be performed by the applicant or by a person 
satisfactory to the applicant and EPA, and whose qualifications have 
been reviewed and approved by EPA. All proposals must identify any 
person other than the applicant who will assist in carrying out the 
project. The state remains responsible for ensuring that all 
cooperative agreement conditions are satisfied, and for the successful 
completion of the project.
    Recipients may begin incurring costs on the start date identified 
in the EPA award agreement. Activities must be completed and funds 
spent within the time frames specified in the award agreement.
    Specific reporting requirements will be identified in the EPA award 
agreement. Recipients will be required to submit semi-annual progress 
reports. Cooperative agreement recipients will submit two copies of 
their final report and two copies of all work products to the EPA 
Project Officer within ninety (90) days after the expiration of the 
budget period. This report will be accepted as the final report 
provided it is complete.

Section VIII--Other Information

    The Office of Management and Budget (OMB) has approved the 
information collection requirements contained in this solicitation 
under the provisions of the Paperwork Reduction Act , 44 U.S.C.

[[Page 52111]]

3501 et. seq. and has assigned OMB control number 2030-0020.
P. Statutory Authority
    EPA statutory authority for awarding financial assistance under 
this Notice of Funds Availability include section 103 of the Clean Air 
Act, section 104, of the Clean Water Act, section 8001 of the Solid 
Waste Disposal Act, section 10 of the Toxic Substances Control Act, and 
section 20 of Federal Insecticide, Fungicide, and Rodenticide Act.

Section IX--How To Apply

    An original and one copy of the proposal should be mailed to EPA 
headquarters in Washington, D.C. at the following address: Julie C. 
Taitt, Administration and Budget Management Team, U.S. E.P.A. Office of 
Policy, Economics, and Innovation, 401 M. St., S.W. (MC 1803), 
Washington, D.C. 20460, (202) 260-9230.

Section X--OPEI Programs Contact

    For Technical Assistance Contact:

Dan Fiorino (202) 260-2749
Chuck Kent (202) 260-2462
Ken Munis (202) 260-9560

    For Administrative Assistance Contact: Julie C. Taitt, 401 M. St., 
S.W. (MC 1803), Washington, D.C. 20460, (202) 260-9230.

    Dated: August 22, 2000.
Charles W. Kent,
Associate Director for the Office of Business and Community Innovation.
[FR Doc. 00-21915 Filed 8-25-00; 8:45 am]
BILLING CODE 6560-50-P