FY20 Title XVI Research FOA-final-508.pdf

Water Reclamation and Reuse Research Projects Funding Opportunity Announcement No. BOR-DO-20-F009

U.S. Department of the Interior August 2020

This page is intentionally left blank.

Mission Statements The Department of the Interior (DOI) conserves and manages the Nation’s natural resources and cultural heritage for the benefit and enjoyment of the American people, provides scientific and other information about natural resources and natural hazards to address societal challenges and create opportunities for the American people, and honors the Nation’s trust responsibilities or special commitments to American Indians, Alaska Natives, and affiliated island communities to help them prosper.

The mission of the Bureau of Reclamation is to manage, develop, and protect water and related resources in an environmentally and economically sound manner in the interest of the American public.

Cover photo: West Basin Municipal Water District’s Custom Engineered Membrane Filtration Pilot Test Project.

Synopsis

Synopsis

Federal Agency Name: Department of the Interior, Bureau of Reclamation, Research and Development Office

Funding Opportunity Title: Water Reclamation and Reuse Research Projects

Announcement Type: Funding Opportunity Announcement (FOA)

Funding Opportunity Number:

BOR-DO-20-F009

Catalog of Federal Domestic Assistance (CFDA) Number:

15.504

Dates:

(See FOA Sec. D.4)

Application due date:

October 7, 2020, 4:00 p.m. Mountain Daylight Time (MDT)

Eligible Applicants:

(See FOA Sec. C.1)

State, regional, or local authorities; Indian tribes or tribal organizations; or other entities such as a water district, wastewater district, or rural water district. Applicants must be located in the western United States or United States Territories as identified in the Reclamation Act of June 17, 1902, as amended or Hawaii.

Recipient Cost Share:

(See FOA Sec. C.2)

75 percent or more of total study costs

Federal Funding Amount:

(See FOA Sec. B.1)

Funding Group I: Up to $150,000 per agreement

Funding Group II: Up to $300,000 per agreement

Funding Group III: Up to $750,000 per agreement

Estimated Number of Agreements to be Awarded:

(See FOA Sec. B.1)

Approximately 5 to 12 awards, depending on the amount requested by each applicant.

iii

Application Checklist

Application Checklist

The following table contains a summary of the information that you are required to submit with your application.

√ What to submit Required content Form or format When to submit

Mandatory Federal Forms:

Application for Federal Assistance

Budget Information

Assurances

See Sec. D.2.2.1 SF-424, SF-424A, and SF-424B forms may be obtained at www.grants.gov/web/grants/forms/sf- 424-family.html

Title page See Sec. D.2.2.2 Page 13 *

Table of contents See Sec. D.2.2.3 Page 13 *

Technical proposal:

Executive summary

Project description

Evaluation criteria

See Sec. D.2.2.4

See Sec. D.2.2.4

See Sec. E.1

Pages 27 to 32

Project Budget:

Funding plan and letters of commitment

Budget proposal

Budget narrative

See Sec. D.2.2.5

See Sec. D.2.2.5

See Sec. D.2.2.5

See Sec. D.2.2.5

Pages 14 to 21

Environmental and cultural resources compliance

See Sec. D.2.2.6 Page 21 *

Letters of support See Sec. D.2.2.7 Page 22 *

Required permits or approvals

See Sec. D.2.2.8 Page 22 *

Official Resolutions See Sec. D.2.2.9 Page 22 **

* Submit materials with your application.

** Document should be submitted with your application; however, please refer to the applicable section of the FOA for extended submission date.

*** Should be completed prior to the application deadline; however, please refer to the applicable section of the FOA for extended completion date.

v

Acronyms and Abbreviations

Acronyms and Abbreviations

ASAP Automated Standard Application for Payments ARC Application Review Committee CFDA Catalog of Federal Domestic Assistance CFR Code of Federal Regulations CWA Clean Water Act Department U.S. Department of the Interior DUNS Data Universal Number System ESA Endangered Species Act FAPIIS Federal Award Performance Integrity Information System FOA Funding Opportunity Announcement FY fiscal year MDT Mountain Daylight Time NEPA National Environmental Policy Act NHPA National Historic Preservation Act OM&R operations, maintenance, or replacement P.L. Public Law Reclamation Bureau of Reclamation SAM System of Award Management Title XVI Title XVI Water Reclamation and Reuse program Title XVI Research research funded under the Title XVI Program U.S.C. United States Code WaterSMART Sustain and Manage America’s Resources for Tomorrow WIIN Water Infrastructure Improvements for the Nation vii

Contents

Contents Page

Section A: Funding Opportunity Description A.1. Program Information A.2. Objective of this Funding Opportunity Announcement A.3. Statutory Authority A.4. Other Related Funding Opportunities

Section B: Award Information B.1. Total Study Funding B.2. Study Funding Limitations B.3. Assistance Instrument

Section C: Eligibility Information C.1. Eligible Applicants C.2. Cost Sharing Requirements C.3. Eligible Studies

Section D: Application and Submission Information D.1. Address to Request Application Package D.2. Content and Form of Application Submission D.3. Unique Entity Identifier and System for Award Management (SAM) D.4. Submission Date and Time D.5. Intergovernmental Review D.6. Automated Standard Application for Payments Registration

Section E: Application Review Information E.1. Technical Proposal: Evaluation Criteria E.2. Review and Selection Process E.3. Federal Award Performance Integrity Information System E.4. Anticipated Announcement and Federal Award Date

Section F: Federal Award Administration Information F.1. Federal Award Notices F.2. Administrative and National Policy Requirements F.3. Reporting — Requirements and Distribution F.4. Conflicts of Interest F.5. Data Availability F.6 Releasing Applications

Section G: Agency Contacts G.1. Reclamation Financial Assistance Management Contact G.2. Reclamation Program Administrator Contact ix

Section A: Funding Opportunity Description

Section A: Funding Opportunity Description

A.1. Program Information Through the Title XVI Water Reclamation and Reuse Program (Title XVI), authorized by Public Law (P.L.) 102-575 in 1992, the Bureau of Reclamation (Reclamation) provides financial and technical assistance to local water agencies for water reclamation and reuse research and the planning, design, and construction of water reclamation and reuse projects. Through the Title XVI Program, Reclamation provides funding to facilitate investment in technology and enables broader scale use of recycled water which supports the goals of the October 19, 2018 Presidential Memorandum on Promoting the Reliable Supply and Delivery of Water in the West.

Water recycling is an important tool in stretching the limited water supplies in the Western United States. Title XVI projects develop and supplement urban and irrigation water supplies through water reuse, thereby improving efficiency, providing flexibility during water shortages, and diversifying the water supply. The program’s funded activities support Reclamation’s priorities, including increasing water supplies, leveraging science and technology to improve water supply reliability, addressing ongoing drought, and improving water supplies for tribal and rural communities.

Water reclamation and reuse research helps states, tribes, and local communities tackle water supply challenges. For purposes of the Title XVI Program, a water reclamation and reuse project is a project that reclaims and reuses municipal, industrial, domestic, or agricultural wastewater or impaired groundwater or surface waters. Research funded under the Title XVI Program (Title XVI Research) supports the development of water reclamation and reuse projects to supplement urban and irrigation water supplies through water reuse, thereby improving efficiency, providing flexibility during water shortages, and diversifying the water supply. Water reclamation and reuse projects provide growing communities with new sources of clean water which increases water management flexibility and makes our water supply more reliable.

A.2. Objective of this Funding Opportunity Announcement

The objective of this Funding Opportunity Announcement (FOA) is to invite research sponsors to submit proposals to cost-share Title XVI Research activities that seek to address water supply challenges by establishing or expanding the use of water reclamation and reuse, improving existing water reuse facilities, and/or streamlining the implementation of state-of-the-art technology for new facilities.

For this FOA, state of the art is defined as the latest and most advanced technologies or processes currently available in the industry for deployment and implementation.

“State-of-the-art technology” does not include innovative technologies or processes that are not commercially available and are currently under development through pilot or demonstration research efforts.

A.3. Statutory Authority This FOA is issued under the authority of Title XVI of Public Law 102-575, as amended (43 United States Code [U.S.C.] 390h through 390h-39).

A.4. Other Related Funding Opportunities WaterSMART (Sustain and Manage America’s Resources for Tomorrow):

Title XVI Congressionally Authorized Water Reclamation and Reuse Projects Through this FOA, funding is available for planning, design, and construction of Title XVI Projects specifically authorized for funding under Title XVI of Public Law 102-575, as amended (43 U.S.C. 390h through 390h-39).

WaterSMART: Title XVI WIIN Water Reclamation and Reuse Projects Through this FOA, funding is available for planning, design, and construction of Title XVI Projects eligible under Section 4009(c) of the Water Infrastructure Improvements for the Nation (WIIN) Act.

WaterSMART: Desalination Construction Projects Under the WIIN Act Through this FOA, funding is available for planning, design, and construction of desalination projects eligible under Section 4009(a) of the WIIN Act.

Desalination and Water Purification Research and Development: Research Projects Through this FOA, funding is available for laboratory and pilot scale research studies to determine the viability of a novel process, new materials, or process modifications in conjunction with individuals, institutions of higher education, commercial or industrial organizations, private entities, public entities (including state and local), and Indian tribal governments.

Desalination and Water Purification Research and Development: Pitch to Pilot Through this FOA, funding is available to develop innovative and disruptive new technologies or processes at the pilot scale with the goal to augment water supplies and address costs, energy usage, and environmental impacts of water treatment technologies.

Section B: Award Information

Section B: Award Information

B.1. Total Study Funding Fiscal year (FY) 2020 appropriations include $63.617 million for the Title XVI Program. It is estimated that up to $3 million will be available for development of new water reclamation and reuse research studies under this FOA. Applications submitted under this FOA also may be considered if other funding becomes available in FY 2020 or thereafter.

B.2. Study Funding Limitations The Federal share (Reclamation’s share plus any other sources of Federal funding) of any one proposed research study shall not exceed 25 percent of the total research study cost. Generally, the non-Federal share of research study costs must be expended at the same or greater rate as the Federal share of research study costs.

Applicants are invited to submit proposals under any of the three Funding Groups provided below.

Note: For this FOA, the terms “project” and “study” are used interchangeably and refer to the applicant’s proposed Title XVI Research Study.

B.2.1. Funding Group I

Up to $150,000 in Federal funds provided through this FOA will be available for desktop research studies to develop science and decision-support tools to assist communities in decision-making related to implementing or expanding water reclamation projects.

B.2.2. Funding Group II

Up to $300,000 in Federal funds provided through this FOA will be available for research studies focused on improvements to existing facilities that could be implemented at the research study sponsor’s location but that also may include broad benefits for the industry.

B.2.3. Funding Group III

Up to $750,000 in Federal funds provided through this FOA will be available for research studies that focus on state-of-the-art technology verification at a new proposed location or community that may also result in broader benefits for the industry.

B.3. Assistance Instrument Awards will be made through grants or cooperative agreements as applicable to the selected project. If a cooperative agreement is awarded, the recipient should expect Reclamation to have substantial involvement in the project.

Substantial involvement by Reclamation may include:

• Collaboration and participation with the recipient in the management of the project and close oversight of the recipient’s activities to ensure that the program objectives are being achieved.

• Oversight may include review, input, and approval at key interim stages of the project.

At the request of the recipient, Reclamation can provide technical assistance after award of the agreement. If you would like to receive Reclamation technical assistance, you must account for these costs in your project budget. To discuss available assistance and these costs, contact your local Reclamation office, listed at www.usbr.gov/main/offices.html.

http://www.usbr.gov/main/offices.html

Section C: Eligibility Information

C.1. Eligible Applicants Applicants eligible to receive an award under this FOA include state, regional, or local authorities; Indian tribes or tribal organizations; or other entities such as a water district, wastewater district, or rural water district. Applicants must be located in the western United States or United States Territories as identified in the Reclamation Act of June 17, 1902, as amended or Hawaii.

Sponsors of water reclamation and reuse projects specifically authorized for funding under the Title XVI Act, including projects eligible under the WIIN Act, which have not reached their Federal funding ceiling, are also eligible to receive an award under this FOA.

Entities not eligible under this FOA include, but are not limited to:

• Federal governmental entities

• Research institutions, including universities and nonprofits

• For-profit organizations

• Individuals

Entities not elig ible to apply are encouraged to partner with elig ible entities to improve the deployment of state-of-the-art technologies.

C.2. Cost Sharing Requirements Applicants must be capable of cost sharing 75 percent or more of the total project costs. The total project cost is defined as the total allowable costs incurred under a Federal award and all required cost share and voluntary committed cost-share contributions, including third-party contributions.

Cost share may be made through cash, costs contributed by the applicant, or third-party in-kind contributions. Third-party in-kind contributions is the value of non-cash contributions of property or services that benefit the federally assisted project and are contributed by non-Federal third parties, without charge. Cost share funding from sources outside the applicant’s organization (e.g., loans or state grants) should be secured and available to the applicant prior to award. Please see Section D.2.2.5. – Project Budget: Funding Plan and Letters of Commitment and Section D.2.2.8. - Official Resolution for more information regarding the documentation required to verify commitments to meet cost sharing requirements.

Other sources of Federal funding may not be counted towards the required cost share. The exception to this requirement is where the Federal statute authorizing a program specifically provides that Federal funds made available for such program can be applied to matching or cost sharing requirements of other Federal programs, such as awards to tribal organizations under P.L. 93-638, as amended. If it is determined that the Federal funding cannot be applied towards the non-Federal cost share, the work associated with the funding may be removed from the proposed project.

C.2.1. Cost-Share Regulations

All cost share contributions must meet the applicable administrative and cost principles criteria established in 2 Code of Federal Regulations (CFR) Part 200, available at www.ecfr.gov.

C.2.2. Third-Party In-Kind Contributions

Third-party in-kind contributions may be in the form of equipment, supplies, and other expendable property, as well as the value of services directly benefiting and specifically identifiable to the proposed project. The cost or value of third-party in-kind contributions that have been or will be relied on to satisfy a cost sharing or matching requirement for another Federal financial assistance agreement, a Federal procurement contract, or any other award of Federal funds may not be relied on to satisfy the cost-share requirement for an award under this FOA. Applicants should refer to 2 CFR §200.434, Contributions and donations for regulations regarding the valuation of third-party in-kind contributions, available at www.ecfr.gov.

C.3. Eligible Studies

C.3.1 Eligible Studies

Proposals for water reclamation and reuse research studies designed to help states, tribes, and local communities establish or expand water reuse markets, improve existing water reuse facilities, and/or streamline the implementation of new facilities are eligible for funding under this FOA. Eligible research studies must focus on supporting water reclamation and reuse of non-traditional water supplies, including but not limited to municipal, industrial, domestic, or agricultural wastewater as well as impaired ground or surface waters, including stormwater, seawater, or brackish water.

Funding Groups I, II, and III are types of research studies eligible for funding under this FOA. Applications may include any one, or any combination, of the types of research studies described in Funding Group I, II, or III. In general, if you are seeking funding for multiple research studies (for example, a Funding Group I research study and a Funding Group III research study) and the research studies are interrelated or closely related, they should be combined into one Funding Group application. In these cases, the specifications of the higher funding group would apply.

http://www.ecfr.gov/

C.3.1.1 Funding Group I: Planning Related Research to Streamline Approval of Water Reclamation Projects or Expand Water Reclamation Markets or Use

Research studies in this funding group should support and streamline approval, implementation, and expansion of water reuse projects in a specific region. Research studies should focus on desktop research to develop science and decision-support tools to assist communities in decision-making related to implementing or expanding water reclamation projects. Research studies eligible for this funding group include, but are not limited to:

• Research studies focused on creating or identifying innovative pathways to fast-track the implementation of water reclamation projects in times of drought.

• Research to create state or regional guidance to streamline navigating institutional obstacles such as the multijurisdictional regulatory framework for permitting new facilities.

• Research to evaluate the institutional barriers to expand or modify an existing water recycling facility for new water use applications such as indirect or direct potable reuse.

• Research to develop or expand reclaimed or recycled water use at a specific location through implementation frameworks that outline best practices to address social acceptance, environmental mitigation, or marketing structures for water reclamation projects.

• Research to evaluate a state or regional market for recycled water, which may include valuing the economic, social, and environmental benefits of water reuse to promote facility implementation.

C.3.1.2 Funding Group II: Research for State-of-the-Art Improvements or Optimization of Existing Water Reclamation Facilities

Planning-related research studies or field research studies in this funding group should focus on state-of-the-art solutions to optimize water reuse facility efficiencies, such as reducing treatment costs, improving energy efficiency, or improving water quality at existing facilities. Research studies should focus on improvements to existing facilities that could be implemented at the research study sponsor’s location, but may also include broad benefits as case studies for the industry. Research studies eligible for this funding group include, but are not limited to:

• Planning-related research to identify opportunities to promote widespread adoption of efficient treatment technologies in an existing water reclamation facility to stretch supplies generated for agriculture use.

• Planning-related research to integrate existing or new state-of-the-art technology at an existing facility to improve treated water quality to expand the use of reclaimed water for new market applications, such as indirect or direct potable reuse.

• Field research to identify and enact wider adoption of existing or new state-of-the-art technologies at a specific location that improve efficiency, reduce cost, enhance drought resiliency, or counteract the impacts of climate change.

• Field research to evaluate technology implementation options to improve the energy efficiency of existing water reclamation facilities, such as integrating energy recovery devices, energy generation, and optimizing pumping rates or times to conserve energy and lower operating costs.

• Field research to evaluate implementing existing or new state-of-the-art treatment technologies or nutrient recovery techniques that are not widely deployed to improve water quality of discharge into environmental systems at an existing facility.

• Field research to evaluate implementing different software and hardware systems for monitoring, measurement, or leak detection in reclaimed or recycled water plants or distribution systems.

• State-of-the-art technology verification at an existing facility to increase treatment capacity or improve effluent quality to expand recycled water use for new applications.

C.3.1.3 Funding Group III: Field Research to Deploy State-of-the-Art Technologies and Adopt Best Practices for New Water Reuse Facilities

Research studies in this funding group should focus on deploying state-of-the-art technologies at new locations. Research studies should focus on technology verification at a new proposed location or community. Technologies eligible for deployment under this funding group must provide sufficient documentation to prove the technology has been successfully demonstrated in a pilot study for use in the proposed research application. Research studies eligible for this funding group include, but are not limited to:

• Field research to validate the technical merit of a state-of-the-art technology, identified as viable thorough a feasibility investigation or demonstrated in a pilot study, in a new location to assist in streamlining the planning, design, and permanent construction of new water reclamation facilities.

• Field research to determine the physical and economic viability or suitability of a state-of-the-art technology that will reduce total cost, energy input, or carbon emissions at a full scale facility.

• Field research to deploy technologies at a new location for a particular water user including agricultural, municipalities, and industry.

• Field research to evaluate how a state-of-the-art technology may reduce environmental impact of a water reclamation facility.

• Field research to evaluate implementation of state-of-the-art technologies for desalination intake and outfall structures.

• Field research to evaluate methods and/or technologies for treating water produced by oil and gas extraction processes.

• Other research studies that are similar to those listed above may be submitted for consideration and will be allowed to the extent they are consistent with program authorization and goals.

C.3.2 Ineligible Studies

Research studies not eligible for funding under this FOA include, but are not limited to:

• Lab-scale research, piloting, or demonstration research focused on new and novel advanced water treatment technology development, such as studies currently proposed or funded under Reclamation’s Desalination and Water Purification Research Program

• Construction of permanent research facilities

• Operations, maintenance, or replacement (OM&R) activities. OM&R is described as system improvements that replace or repair existing infrastructure or function without providing increased efficiency or effectiveness of water distribution over the expected life of the improvement.

Examples of ineligible OM&R projects include:

o Replacing malfunctioning components of an existing facility with the same components o Improving an existing facility to operate as originally designed o Performing an activity on a recurring basis, even if that period is extended (e.g., 10-year interval) o Sealing expansion joints of concrete lining because the original sealer or the water stops have failed o Replacing broken meters with new meters of the same type o Replacing leaky pipes with new pipes of the same type

C.3.3 Length of Studies

The length of time to complete a research study is determined by the Funding Group for which the research study is proposed. The Funding Groups and respective research study timeframes are listed below:

• Funding Group I research studies should be completed within 18 months of award,

• Funding Group II research studies should be completed within 24 months of award, and

• Funding Group III research studies should be completed within 36 months of award.

Section D: Application and Submission Information

Section D: Application and Submission Information

D.1. Address to Request Application Package This document contains all information, forms, and electronic addresses required to obtain the information required for submission of an application.

If you are unable to access this information electronically, you can request paper copies of any of the documents referenced in this FOA by contacting:

By mail: Bureau of Reclamation Acquisition and Assistance Operations Branch Attn: Matthew Reichert Mail Code: 84-27810 P.O. Box 25007 Denver, Colorado 80225

By email: mreichert@usbr.gov

By telephone: 303-445-3865

D.2. Content and Form of Application Submission All applications must conform to the requirements set forth below.

D.2.1. Application Format and Length

The technical proposal and evaluation criteria section shall be limited to a maximum of 20 consecutively numbered pages. If this section exceeds 20 pages, only the first 20 pages will be evaluated. The font shall be at least 12 points in size and easily readable. Page size shall be 8½ by 11 inches with standard 1” margins, including charts, maps, and drawings. Oversized pages will not be accepted.

Applications will be prescreened for compliance to the page number limitations.

Excess pages will be removed and not considered in the evaluation of the proposed project.

mailto:mreichert@usbr.gov

D.2.2. Application Content

The application must include the following elements to be considered complete:

• Mandatory Federal Forms o SF-424 Application for Federal Assistance o SF-424A Budget Information—Non-construction Programs o SF-424B Assurances—Non-construction Programs

SF-424, SF-424A, and SF-424B forms may be obtained at www.grants.gov/web/grants/forms/sf-424-family.html

• Title page

• Table of contents

• Technical proposal and evaluation criteria (limited to 20 pages) o Executive summary o Technical project description o Evaluation criteria

• Environmental and cultural resources compliance

• Required permits or approvals

• Letters of project support (will not count toward the page limitation)

• Official resolution (will not count toward the page limitation)

• Project budget o Funding plan and letters of commitment o Budget proposal o Budget narrative

D.2.2.1. Mandatory Federal Forms

The application must include the following standard Federal forms.

SF-424 Application for Federal Assistance

A fully completed form SF-424 signed by a person legally authorized to commit the applicant to performance of the project must be submitted. Failure to submit a properly signed SF-424 may result in the elimination of the application from further consideration.

SF-424 Budget Information A fully completed form SF-424A, Budget Information-Non-Construction Programs, must be submitted with the application.

http://www.grants.gov/web/grants/forms/sf-424-family.html

SF-424 Assurances

A form SF-424B, Assurances—Non-Construction Programs, signed by a person legally authorized to commit the applicant to performance of the project must be included. Failure to submit a properly signed SF-424B may result in the elimination of the application from further consideration.

D.2.2.2. Title Page

Provide a brief, informative, and descriptive title for the proposed work that indicates the nature of the project. Include the name and address of the applicant, and the name and address, email address, and telephone of the Project Manager.

D.2.2.3. Table of Contents

List all major sections of the proposal in the table of contents.

D.2.2.4. Technical Proposal and Evaluation Criteria

The technical proposal and evaluation criteria (20 pages maximum) include:

(1) Executive summary

(2) Technical project description

(3) Evaluation criteria

Executive Summary The executive summary should include:

• The date, applicant name, city, county, and state

• A one paragraph project summary that specifies the work proposed, including how funds will be used to accomplish specific project activities and briefly identifies how the proposed project contributes to accomplishing the goals of this FOA.

• State the length of time and estimated completion date for the proposed project

Technical Project Description The technical project description should describe the work in detail, including specific activities that will be accomplished. This description should have sufficient detail to permit a comprehensive evaluation of the proposal. The technical project description should describe research methods and/or the state-of-the-art technologies that will be investigated as part of the research study. A thorough description of past research should include information regarding why the proposed method or technology is more appropriate for the intended use than other available methods as well as other methods considered.

Evaluation Criteria (See Section E.1. Technical Proposal: Evaluation Criteria for additional details, including a detailed description of each criterion and subcriterion and points associated with each.)

The evaluation criteria portion of your application should thoroughly address each criterion and subcriterion in the order presented to assist in the complete and accurate evaluation of your proposal.

It is suggested that applicants copy and paste the evaluation criteria and subcriteria in Section E.1. Technical Proposal: Evaluation Criteria into their applications to ensure that all necessary information is adequately addressed.

D.2.2.5. Project Budget

The project budget includes:

(1) Funding plan and letters of commitment

(2) Budget proposal

(3) Budget narrative

Budget proposals must not include costs that are anticipated to be incurred prior to the date of selection. Please refer to section E.4. Anticipated Announcement and Federal Award Date.

If the project is selected, the awarding Reclamation Grants Officer will review the proposed pre-award costs to determine if they are consistent with program objectives and are allowable in accordance with the authorizing legislation. Proposed pre-award costs must also be compliant with all applicable administrative and cost principles criteria established in 2 CFR Part 200, available at www.ecfr.gov, and all other requirements of this FOA.

Please note that the costs for preparing and submitting an application in response to this FOA, including the development of data necessary to support the proposal, are not eligible project costs under this FOA and must not be included in the project budget. In addition, budget proposals must not include costs for the purchase of water or land, or to secure a permanent easement. These costs are not eligible project costs under this FOA.

Funding Plan and Letters of Commitment

Describe how the non-Federal share of project costs will be provided. Reclamation will use this information in making a determination of financial capability.

Project funding provided by a source other than the applicant shall be supported with letters of commitment from these additional sources. This is a mandatory requirement.

Letters of commitment shall identify the following elements:

• The amount of funding commitment

• The date the funds will be available to the applicant

• Any time constraints on the availability of funds

• Any other contingencies associated with the funding commitment

Commitment letters from third-party funding sources should be submitted with your project application. If commitment letters are not available at the time of the application submission, please provide a timeline for submission of all commitment letters. Cost share funding from sources outside the applicant’s organization (e.g., loans or state grants), should be secured and available to the applicant prior to award.

Reclamation will not make funds available for an award under this FOA until the recipient has secured the non-Federal cost share. Reclamation will execute a financial assistance agreement once non-Federal funding has been secured or Reclamation determines that there is sufficient evidence and likelihood that non-Federal funds will be available to the applicant subsequent to executing the agreement.

The funding plan must include all project costs, as follows:

• Any monetary contributions by the applicant towards the cost share requirement and source of funds (e.g., reserve account, tax revenue, and/or assessments)

• Any costs that will be contributed by the applicant

• Any third-party in-kind costs (i.e., goods and services provided by a third party)

• Any cash requested or received from other non-Federal entities

• Any pending funding requests (i.e., grants or loans) that have not yet been approved and an explanation of how the project will be affected if such funding is denied

In addition, please identify whether the budget proposal includes any project costs that have been or may be incurred prior to award. For each cost, describe:

• The project expenditure and amount

• The date of cost incurrence

• How the expenditure benefits the project

Please include the following chart (Table 1) to summarize all funding sources.

Table 1.—Total Project Cost Table

SOURCE AMOUNT

Costs to be reimbursed with the requested Federal funding $ Costs to be paid by the applicant $ Value of third-party contributions $

TOTAL PROJECT COST $

Budget Proposal

The total project cost (Total Project Cost) is the sum of all allowable items of costs, including all required cost sharing and voluntary committed cost sharing, including third-party contributions, that are necessary to complete the project.

The budget proposal should include detailed information on the categories listed below and must clearly identify all project costs, including those that will be contributed as non-Federal cost share by the applicant (required and voluntary), third-party in-kind contributions, and those that will be covered using the funding requested from Reclamation, and any requested pre-award costs. Unit costs must be provided for all budget items, including the cost of services or other work to be provided by consultants and contractors. Applicants are strongly encouraged to review the procurement standards for Federal awards found at 2 CFR §200.317 through §200.326 before developing their budget proposal.

It is also strongly advised that applicants use the budget proposal format shown below in Table 2 or a similar format that provides this information. If selected for award, successful applicants must submit detailed supporting documentation for all budgeted costs.

Table 2.—Sample Budget Proposal Format

BUDGET ITEM DESCRIPTION COMPUTATION Quantity Type

TOTAL

COST $/Unit Quantity

Salaries and Wages Employee 1 $ Employee 2 $ Employee 3 $ Fringe Benefits Full-Time Employees $ Part-Time Employees $ Travel Trip 1 $ Trip 2 $ Trip 3 $ Equipment

Table 2.—Sample Budget Proposal Format

BUDGET ITEM DESCRIPTION COMPUTATION Quantity Type

TOTAL

COST $/Unit Quantity

Item A $ Item B $ Item C $ Supplies and Materials Item A $ Item B $

Third-Party Contributions

Item A $

Item B $

Contractual/Construction Contractor A $ Contractor B $ Other Other $

TOTAL DIRECT COSTS $

Indirect Costs Type of rate percentage $base $

TOTAL ESTIMATED PROJECT COSTS $

Budget Narrative

Submission of a budget narrative is mandatory. An award will not be made to any applicant who fails to fully disclose this information. The budget narrative provides a discussion of, or explanation for, items included in the budget proposal. The types of information to describe in the narrative include, but are not limited to, those listed in the following subsections. Costs, including the valuation of third-party in-kind contributions, must comply with the applicable cost principles contained in 2 CFR Part §200, available at the Electronic Code of Federal Regulations (www.ecfr.gov).

Salaries and Wages

Indicate the Project Manager and other key personnel by name and title. The Project Manger must be an employee or board member of the applicant. Other personnel should be indicated by title alone. For all positions, indicate salaries and wages, estimated hours or percent of time, and rate of compensation. The labor rates must identify the direct labor rate separate from the fringe rate or fringe cost for each position. All labor estimates must be allocated to specific tasks as outlined in the applicant’s technical project description. Labor rates and proposed hours shall be displayed for each task.

The budget proposal and narrative should include estimated hours for compliance with reporting requirements, including final project and evaluation. Please see Section F.3.2. Interim Performance Reports for information on types and frequency of reports required.

Generally, salaries of administrative and/or clerical personnel will be included as a portion of the stated indirect costs. If these salaries can be adequately documented as direct costs, they should be included in this section; however, a justification should be included in the budget narrative.

Fringe Benefits

Identify the rates/amounts, what costs are included in this category, and the basis of the rate computations. Federally approved rate agreements are acceptable for compliance with this item.

Travel

Identify the purpose of each anticipated trip, destination, number of persons traveling, length of stay, and all travel costs including airfare (basis for rate used), per diem, lodging, and miscellaneous travel expenses. For local travel, include mileage and rate of compensation.

Equipment

Itemize costs of all equipment having a value of over $5,000 and include information as to the need for this equipment, as well as how the equipment was priced if being purchased for the agreement. Note: if the value is less than $5,000, the item should be included under materials and supplies. If the equipment will be purchased and installed under a construction contract, the equipment should be included in the construction contract cost estimate.

Materials and Supplies

Itemize supplies by major category, unit price, quantity, and purpose, such as whether the items are needed for office use, research, or construction. Identify how these costs were estimated (i.e., quotes, past experience, engineering estimates, or other methodology). Note: If the materials/supplies will be furnished and installed under a construction contract, the materials/supplies should be included in the construction contract cost estimate.

Contractual

Identify all work that will be accomplished by subrecipients, consultants, or contractors, including a breakdown of all tasks to be completed, and a detailed budget estimate of time, rates, supplies, and materials that will be required for each task. For each proposed contract, identify the procurement method that will be used to select the consultant or contractor and the basis for selection. Please note that all contracts with an anticipated value of $10,000 or more must use a competitive procurement method. Only contracts for architectural/engineering services can be awarded using a qualifications-based procurement method. If a qualifications-based procurement method is used, profit must be negotiated as a separate element of the contract price. See 2 CFR §200.317 through §200.326 for additional information regarding the standards for procurement transactions, including required contract content.

Third-Party In-Kind Contributions

Identify all work that will be accomplished by third-party contributors, including a breakdown of all tasks to be completed, and a detailed budget estimate of time, rates, supplies, and materials that will be required for each task. Third-party in-kind contributions, including contracts, must comply with all applicable administrative and cost principles criteria, established in 2 CFR Part 200, available at www.ecfr.gov, and all other requirements of this FOA.

Environmental and Regulatory Compliance Costs

Prior to awarding financial assistance, Reclamation must first ensure compliance with Federal environmental and cultural resources laws and other regulations (“environmental compliance”). Every project funded under this program will have environmental compliance costs associated with activities undertaken by Reclamation and the recipient.

To estimate environmental compliance costs, please contact compliance staff at your local Reclamation Office for additional details regarding the type and costs of compliance that may be required for your project. Note, support for your compliance costs estimate will be considered during review of your application. See Section G. Agency Contacts of this FOA for a list of Reclamation staff by region to contact regarding compliance costs and requirements.

Environmental compliance costs are considered project costs and must be included as a line item in the project budget and will be cost shared accordingly. The amount of the line item should be based on the actual expected environmental compliance costs for the project, including Reclamation’s cost to review environmental compliance documentation. Environmental compliance costs will vary based on project type, location, and potential impacts to the environment and cultural resources.

How environmental compliance activities will be performed (e.g., by Reclamation, the applicant, or a consultant) and how the environmental compliance funds will be spent, will be determined pursuant to subsequent agreement between Reclamation and the applicant. The amount of funding required for Reclamation to conduct any environmental compliance activities, including Reclamation’s cost to review environmental compliance documentation, will be withheld from the Federal award amount and placed in an environmental compliance account to cover such costs. If any portion of the funds budgeted for environmental compliance is not required for compliance activities, such funds may be reallocated to the project, if appropriate.

Costs associated with environmental and regulatory compliance must be included in the budget. Compliance costs include costs associated with any required documentation of environmental compliance, analyses, permits, or approvals.

Applicable Federal environmental laws could include National Environmental Policy Act (NEPA), Endangered Species Act (ESA), National Historic Preservation Act (NHPA), Clean Water Act (CWA), and other regulations depending on the project.

Such costs may include, but are not limited to:

• The cost incurred by Reclamation to determine the level of environmental compliance required for the project

• The cost incurred by Reclamation, the recipient, or a consultant to prepare any necessary environmental compliance documents or reports

• The cost incurred by Reclamation to review any environmental compliance documents prepared by a consultant

• The cost incurred by the recipient in acquiring any required approvals or permits, or in implementing any required mitigation measures

Other Expenses

Any other expenses not included in the above categories shall be listed in this category, along with a description of the item and why it is necessary. No profit or fee will be allowed.

Indirect Costs

Indirect costs are costs incurred by the applicant for a common or joint purpose that benefit more than one activity of the organization and are not readily assignable to the activities specifically benefitted without undue effort. Costs that are normally treated as indirect costs include, but are not limited to, administrative salaries and fringe benefits associated with overall financial and organizational administration;

operation and maintenance costs for facilities and equipment; and payroll and procurement services. If indirect costs will be incurred, identify the proposed rate, cost base, and proposed amount for allowable indirect costs based on the applicable cost principles for the applicant’s organization. It is not acceptable to simply incorporate indirect rates within other direct cost line items.

If the applicant has never received a Federal negotiated indirect cost rate, the budget may include a de minimis rate of up to 10 percent of modified total direct costs. For further information on modified total direct costs, refer to 2 CFR §200.68 available at www.ecfr.gov.

If the applicant does not have a federally approved indirect cost rate agreement and is proposing a rate greater than the de minimis 10 percent rate, include the computational basis for the indirect expense pool and corresponding allocation base for the rate. Information on “Preparing and Submitting Indirect Cost Proposals” is available from the Interior Business Center, Office of Indirect Cost Services at www.doi.gov/ibc/services/finance/indirect-cost- services. If the proposed project is selected for award, the recipient will be required to submit an indirect cost rate proposal with their cognizant agency within 3 months of award.

https://www.doi.gov/ibc/services/finance/indirect-cost-services

Total Costs

Indicate total amount of project costs, including the Federal and non-Federal cost share amounts.

D.2.2.6. Environmental and Cultural Resources Compliance

If the proposed project includes ground-disturbing activities, environmental and cultural resources compliance will be required. To allow Reclamation to assess the probable environmental and cultural resources impacts and costs associated with a proposed research study, proposals that include ground-disturbing activities must include responses to the following list of questions focusing on the NEPA, ESA, and NHPA requirements. Please answer the following questions to the best of your knowledge. If any question is not applicable to the project, please explain why. The application should include the answers to:

• Will the proposed project impact the surrounding environment (e.g., soil [dust], air, water [quality and quantity], or animal habitat)? Please briefly describe all earth-disturbing work and any work that will affect the air, water, or animal habitat in the project area. Please also explain the impacts of such work on the surrounding environment and any steps that could be taken to minimize the impacts.

• Are you aware of any species listed or proposed to be listed as a Federal threatened or endangered species, or designated critical habitat in the project area? If so, would they be affected by any activities associated with the proposed project?

• Are there wetlands or other surface waters inside the project boundaries that potentially fall under CWA jurisdiction as “Waters of the United States?” If so, please describe and estimate any impacts the proposed project may have.

• When was the water delivery system constructed?

• Will the proposed project result in any modification of, or effects to, individual features of an irrigation system (e.g., headgates, canals, or flumes)?

If so, state when those features were constructed and describe the nature and timing of any extensive alterations or modifications to those features completed previously.

• Are any buildings, structures, or features in the irrigation district listed or eligible for listing on the National Register of Historic Places? A cultural resources specialist at your local Reclamation office or the State Historic Preservation Office can assist in answering this question.

• Are there any known archeological sites in the proposed project area?

• Will the proposed project have a disproportionately high and adverse effect on low income or minority populations?

• Will the proposed project limit access to and ceremonial use of Indian sacred sites or result in other impacts on tribal lands?

• Will the proposed project contribute to the introduction, continued existence, or spread of noxious weeds or non-native invasive species known to occur in the area?

Note, if mitigation is required to lessen environmental impacts, the applicant may, at Reclamation’s discretion, be required to report on progress and completion of these commitments. Reclamation will coordinate with the applicant to establish reporting requirements and intervals accordingly.

Under no circumstances may an applicant begin any ground-disturbing activities (including grading, clearing, and other preliminary activities) on a project before environmental compliance is complete and Reclamation explicitly authorizes work to…