BOR-CGB-22-F001 CVPH & FI NOFO FY23.pdf

U.S. Department of the Interior Bureau of Reclamation Interior Region 10 California Great Basin Jul 2022

Notice of Funding Opportunity No. R22AS00650

Central Valley Project Habitat & Facility Improvements

FY2022

YEAR 2 – FY2023

FY2024

Mission Statements

The U.S. Department of the Interior protects and manages the Nation’s natural resources and cultural heritage; provides scientific and other information about those resources; and honors its trust responsibilities or special commitments to American Indians, Alaska Natives, and affiliated Island Communities.

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.

The mission of the U.S. Fish and Wildlife Service is working with others to conserve, protect, and enhance fish, wildlife, plants, and their habitats for the continuing benefit of the American people.

Cover photograph – Clear Creek Phase 3C Rearing Habitat Project – 2020. by A. Martin, Yurok Tribal Fisheries Department i

Page Intentionally Left Blank i

Synopsis

Federal Agency Name: Department of the Interior, Bureau of Reclamation, Interior Region 10, California Great Basin

Funding Opportunity Title: Central Valley Project Habitat & Facility Improvements

Announcement Type: Notice of Funding Opportunity (NOFO)

Funding Opportunity Number:

BOR-CGB-21-F007

Catalog of Federal Domestic Assistance (CFDA) Number:

USBR Assistance Listing Number: 15.512 USFWS Assistance Listing Number: 15.648

Dates:

(See NOFO Sec. D.4)

This NOFO covers three application submittal periods – FY2022, FY2023, and FY2024.

Year 1 - Application due date for Fiscal Year (FY) 2022 funding:

Nov 30, 2021, at 5:00 p.m. Pacific Standard Time

Year 2 - Application due date for Fiscal Year (FY) 2023 funding:

Roughly Nov14, 2022, at 5:00 p.m. Pacific Standard Time

Year 3 - Application due date for Fiscal Year (FY) 2024 funding:

Roughly Sep 30, 2023, at 5:00 p.m. Pacific Standard Time

Reclamation reserves the right to alter the due dates for Fiscal Year 2024. Please contact the Agency Contact (Section G-2 Program Coordinator Contact) for updates on due dates.

Funding available for applications submitted under the submittal period is contingent on available appropriations.

Eligible Applicants:

(See NOFO Sec. C.1)

The State of California or an agency or subdivision thereof1, an Indian tribe, or a non-profit2 entity concerned with restoration, protection, or enhancement of fish, wildlife, habitat, or environmental values. Title 34, Public Law 102-575 – Section 3407(e) - Funding to Non-Federal Entities.

Recipient Cost Share:

(See NOFO Sec. C.2)

A 50% or greater non-Federal cost share is required for small pumps/screening applications or projects (Infrastructure Improvement). [P.L. 102-575 Title 3406(b)(19)]. There is no cost-share for projects/applications using other CVPIA authorities.

Federal Funding Amount:

(See NOFO Sec. B)

Up to $10,000,000 per agreement for an application containing project(s) that can be completed within five years. Not to exceed total value of $40M in each of the three FY (2022, 2023, 2024).

Overall total not to exceed $120M.

Estimated Number of Agreements to be Awarded:

(See NOFO Sec. B)

Not to exceed total value of $40M in any funding year – a combination of applications that cumulatively do not exceed $40M in funding.

Intergovernmental Review:

(See NOFO Sec. D.5)

This NOFO is subject to Executive Order 12372, “Intergovernmental Review of Federal Programs.” A list of states that have elected to participate in the intergovernmental review process is at https://www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-20.pdf.

1 Includes state funded universities.

2 Does NOT have to be a 501(c3) to qualify as a ‘non-profit’.

iii

Application Checklist

The following table contains a summary of the information that the applicant is required to submit with the application.

What to Submit

Required Content

Form or Format

When to Submit

Required Federal Forms:

Application for Federal Financial Assistance Budget Information Assurances Disclosure of Lobbying Activities

See Sec. D.2.2.1 SF-424 Application for Federal Assistance

SF-424C budget information for construction programs (SF-424C&D) SF-424D assurance for construction programs SF-LLL disclosure of lobbying activities (if applicable)

Forms may be obtained at www.grants.gov/web/grants/forms/sf-424-family.html

Title page See Sec. D.2.2.2 * Table of contents See Sec. D.2.2.3 * Technical proposal: Overall, an application has to have the following:

Scope of Work (SOW) Budget Timeline/Milestones/Project(s) Schedule/GANTT Chart

Executive summary See Sec. D.2.2.4 * Background data See Sec. D.2.2.4 * Project location See Sec. D.2.2.4 Project description See Sec. D.2.2.4 * Evaluation criteria See Sec. E.1 * Project Budget: * Funding plan See Sec. D.2.2.5 Page 17 * Budget proposal See Sec. D.2.2.5 Page 18 * Budget narrative See Sec. D.2.2.5 Page 19 * Milestones/Project

Schedule See Sec. D.2.2.6 *

Required permits or approvals

See Sec. D.2.2.7 *

Unique Entity Identifier and System for Award Management

See Sec. D.3 ***

* Submit materials with your application.

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

*** Should be completed prior to the application deadline; however, please refer to the applicable section of the NOFO for exception approval requirements.

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Acronyms and Abbreviations

ASAP Automated Standard Application for Payments

ARC Application Review Committee

BACI Before-After-Control-Impact design

CFDA Catalog of Federal Domestic Assistance

CFR Code of Federal Regulations

CVP Central Valley Project

CVPIA Central Valley Project Improvement Act

Department U.S. Department of the Interior

DUNS Data Universal Number System

ESA Endangered Species Act

FAPIIS Federal Award Performance Integrity Information System

NOFO Notice of Funding Opportunity

FOIA Freedom of Information Act

FY Fiscal Year

NTRS Near-Term Restoration Strategy

P.L. Public Law

PMT Project Management Team

Reclamation US Bureau of Reclamation

Service US Fish and Wildlife Service

ROD Record of Decision

SAM System of Award Management

SF Standard Form

SIT CVPIA Science Integration Team

SOW Statement of Work

SPOC Single Point of Contact

U.S.C. United States Code

UEI Unique Enity Identifier vii

Contents Page

Section A. Funding Opportunity Description A.1. Program Information A.2. Objective of this Notice of Funding Opportunity A.3. Statutory Authority

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

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

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 D.4. Submission Date and Time D.5. Intergovernmental Review D.6. Automated Standard Application for Payments Registration D.7. Official Resolution

Section E. Application Review Information E.1. 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. Buy America Domestic Procurement Preference F.7. Releasing Applications

Section G. Agency Contacts G.1. Financial Assistance Contact G.2. Program Coordinator Contact

Section A. Funding Opportunity Description

A.1. Program Information The rivers of the Central Valley of California support populations of Fall Run Chinook, Spring Run Chinook, and Winter Run Chinook salmon (Oncorhynchus tshawytscha) and Steelhead Trout (O. Mykiss). Water resources development, stream channel manipulations, and other anthropogenic actions have reduced and modified historical salmonid habitats. Gravel is regularly transported from spawning sites on the river and there is less utilizable rearing habitat. Infrastructure entrains juveniles, impairs passage, and increases susceptibility to predation.

Relevant purposes of the Central Valley Project Improvement Act (CVPIA) include:

To protect, restore, and enhance fish, wildlife, and associated habitats in the Central Valley and Trinity River basins of California;

To address impacts of the Central Valley Project (CVP) on fish, wildlife and associated habitats;

To improve the operational flexibility of the CVP;

To achieve a reasonable balance among competing demands for use of CVP water, including the requirements of fish and wildlife, agricultural, municipal and industrial and power contractors.

Moreover, the Program seeks to implement the Biden-Harris administrations priorities through the following Executive Orders:

Executive Order 14008: Tackling the Climate Crisis at Home and Abroad - Directs, which directs the Department and other Federal agencies to prioritize efforts to support land conservation and biodiversity efforts.

Executive Order 13985 – Advancing Racial Equity and Support for Underserved Communities through the Federal Government – Federally recognized tribes are eligible to apply under this NOFO.

Executive Order 14005 – Ensuring the Future is Made in All of America by All of America’s Workers – This NOFO relies on US-based non-profits, tribes, and California state agencies. Through this action Reclamation and the Service will also ensure that Tribes and Tribal organizations are eligible to participate, consistent with underlying law (P.L. 102-575, Title XXXIV, Central Valley Project Improvement Act, Section 3407(e)), and receive appropriate technical assistance if required.

Through this Notice of Funding Opportunity, the Bureau of Reclamation (Reclamation) and the U.S. Fish and Wildlife Service (Service) may provide funding for projects that enhance Chinook salmon and Steelhead trout production and associated habitats in the Central Valley, consistent with Public Law (P.L.)

102-575, Title XXXIV, Central Valley Project Improvement Act, Section 3406(b), and 3407(e) and the 2020 Record of Decision (ROD) implementing the 2019 Proposed Action and Incidental Take Statements for the Long Term Operation of the CVP and SWP (Coordinated Long-Term Operation of the Central Valley Project and State Water Project (https://www.usbr.gov/mp/nepa/includes/documentShow.php?Doc_ID=24295).

A.2. Objective of this Notice of Funding Opportunity The objective of this NOFO is to execute the collaborative planning efforts for salmon in the ROD that rely on the CVPIA and the Science Integration Team (SIT) supporting implementation of the Fish Resource Area of the CVPIA. The SIT Fundamental Objectives for the CVPIA Fish Resource Area are:

1. Increasing the total salmonid juvenile biomass at Chipps Island

2. Increasing the natural adult production of salmonids, and

3. Increasing spatial diversity of target salmonid species

Reclamation and the Service define these objectives as benefits to Chinook salmon (fall-run, spring-run, and winter-run) and Steelhead trout. Actions that increase juvenile biomass production at Chipps Island and/or increase natural adult production have a positive benefit.

Actions are types of Projects. Applicants propose Projects. Actions can include:

Create new side channels and modify existing side channels to create and/or improve rearing habitats for the juvenile life stages of anadromous salmonids in the Central Valley rivers and tributaries;

Place woody material, boulders, and other structures as appropriate, to provide habitat for salmonids;

Create/enhance incrementally inundating floodplain habitat;

Provide spawning habitat/coarse (spawning sized) substrate;

Provide passage to and from disconnected habitats;

Improve facilities by reducing their impact on fish survival and growth rates, such as inclusion of fish screens on diversions, modifications to allow for broader range of operation, increased frequency of operation, or to reduce the incidence of predation at a facility.

Other actions that show a clear indication of improving growth & survival of Fall Run, Spring Run, or Winter Run Chinook salmon, and Steelhead trout.

Conduct pre-and post-project site surveys, per the CVPIA SIT Tier 1 (http://cvpia.scienceintegrationteam.com/about/) Monitoring guidance, and monitoring to document the effectiveness of projects at improving salmonid habitat; and

Coordinate activities with a local watershed restoration group or an interagency restoration group consisting of agencies and local stakeholders.

Applications will be selected through a competitive process that will focus on achieving the outcomes identified in this NOFO. That process is described in Section E, Application Review Information.

A.3. Statutory Authority This NOFO is issued under the authority of P.L. 102-575, Title XXXIV of the Central Valley Project Improvement Act, Section 3406(b) and 3407(e).

Section B. Award Information

B.1. Total Funding Up to $120 million, to be awarded at a maximum of $40 million in each of the three fiscal years 2022, 2023, and 2024, is available for award under this NOFO.

Applications will be solicited in each of the three fiscal years.

B.2. Funding Limitations Up to $40 million in Federal funds could be available in fiscal year (FY) 2023, with roughly $40 million more available in FY2024. No single application estimated to cost more than $10 million in Federal funds will be funded in any fiscal year. Funds are limited to eligible applicants. See Section C.1 Eligible Applicants for more information on eligibility.

B.3. Assistance Instrument Awards will be made through financial assistance agreements, primarily cooperative agreements or grants. A grant does not include substantial involvement by Reclamation and/or the Service. Applicants should plan in their application for Reclamation and/or the Service if they anticipate substantial involvement. Substantial involvement by Reclamation and the Service may include:

Providing survey, design, and biological services as needed.

Coordination with the recipient on biological and engineering support for project planning, design, and implementation to ensure projects are implemented effectively.

Participation in local watershed groups or interagency teams dedicated to restoration of anadromous species in the Central Valley, and in the decisions as needed on project implementation.

Working with the recipient to obtain permits, hold permits, and serve as Federal lead(s) for the project.

Providing technical information including habitat criteria, permitting information, and construction guidance for projects.

Providing access to Reclamation-owned or Service-owned facilities and/or properties.

Reclamation and/or the Service overseeing project implementation in coordination with the recipient.

If there is substantial involvement then Reclamation and the Recipient will enter into a Cooperative Agreement rather than a Grant. At the request of the recipient, Reclamation and/or the Service are able to provide technical assistance. If the applicant proposes to receive assistance from either Reclamation or the Service, the applicant must account for these costs in the application budget proposed budget. To discuss and plan available assistance and associated costs, contact the program coordinators identified in Section G. Agency Contacts.

Section C. Eligibility Information

C.1. Eligible Applicants As specified in CVPIA Section 3407(e), an eligible applicant is the State of California or an agency or subdivision thereof1, an Indian tribe, or a non-profit entity concerned with restoration, protection, or enhancement of fish, wildlife, habitat, or environmental values. The Secretary is authorized to provide funding to such an entity on such terms and conditions as is deemed necessary to assist in implementing the identified actions.

C.2. Cost Sharing Requirements A 50% or greater non-Federal2 cost share is required for small pumps/screening applications or projects (Infrastructure Improvement) utilizing the (b)(19) authority [P.L. 102-575 Title 3406(b)(19)]. There is no cost-share for projects/applications using other CVPIA authorities. Costs to be paid by the State of California are addressed by a separate agreement between Reclamation and the State. Limitations on the Secretary’s share of costs (e.g., fish screens) require a non-Federal party to provide funding.

C.2.1. Cost Share Regulations

All cost-share contributions must meet the applicable administrative and cost principles criteria established in Title 2 of the 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 NOFO. 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. Applicants should refer to 2 CFR §200.434 Contributions and donations for regulations

1 Including state funded universities.

2 Non-federal means Non-Federal, not just non-DOI. Non-Federal cost match must be at least 50% of project cost, including cost-overruns. Applicant can represent either non-Federal $ in hand, or in application. The status refers to the certainty of the funding. In-hand means 100% certainty. In- Application means substantially less than 100% certainty. The applicant must state their estimate of the certainty of Non-Federal matching funds for a (b)(19) project.

regarding the valuation of third-party in-kind contributions, available at www.ecfr.gov.

C.3. Eligible Projects

C.3.1 Eligible Projects

Applications should seek to restore and maintain the production of anadromous salmonids and their habitats in the Central Valley of California. Applications should result in quantifiable and reliable benefit to these fish species.

Projects must clearly address either:

1. One or more of the priority actions identified in the Near-Term

Restoration Strategy (NTRS) (Table 8) for the Central Valley Project (http://cvpia.scienceintegrationteam.com/about/) Improvement Act Fish Resource Area (see below); and/or

2. One or more of the non-flow actions using a collaborative process (Habitat or Facilities Improvement category) listed in the Selected Alternative of the 2020 Record of Decision (and related documentation) for the Reinitiation of Consultation on the Coordinated Long-Term Modified Operations of the Central Valley Project and State Water Project.1

Tier 2 & Tier 3 monitoring projects, per the SIT Monitoring Guidance, are not eligible.

Applicants should refer to previous obligation plans and technical memos on the CVPIA website (https://www.usbr.gov/mp/cvpia) to coordinate new projects and avoid duplicative efforts. For assistance with work planning and coordination, contact the program coordinator identified in Section G - Agency Contacts.

Actions are types of Projects. Applicants propose Projects. Applicants may submit multiple project proposal applications, or multiple project proposals within a single application.

Applications must include any one, or combination, of the types of projects described below. In general, if an applicant is seeking funding for multiple projects and those projects are interrelated or closely related, they should be combined into one application. Conversely, if the projects can be completed

1 Table 4-7 of the Proposed Action, adopted as the Selected Alternative in the ROD (Record of Decision for the Coordinated Long-Term Operation of the Central Valley Project and State Water Project)( https://www.usbr.gov/mp/bdo/lto/archive/archive-index.html), lists all actions proposed under the reconsultation. Actions in Table 4-7 of the Proposed Action (https://www.usbr.gov/mp/bdo/docs/ba-chapter-4-proposed-action.pdf) with an “Implementation Approach” of “Collaborative Planning”, and falling within the Habitat and Facility Improvement category, are eligible.

independently and are easily separated or phased, they should be applied for separately.

Actions in the Sacramento River and tributaries, and in the San Joaquin River below Mendota Pool and mainstem tributaries, in suitable locations can include:

Create new side channels and modify existing side channels to create and/or improve rearing habitats for the juvenile life stages of anadromous salmonids in the Central Valley rivers and tributaries;

Place woody material, boulders, and other structures as appropriate, to provide habitat for salmonids;

Create/enhance incrementally inundating floodplain habitat;

Provide spawning habitat/coarse (spawning sized) substrate;

Provide passage to and from disconnected habitats;

Improve facilities by reducing their impact on fish survival and growth rates, such as inclusion of fish screens on diversions, modifications to allow for broader range of operation, increased frequency of operation, or to reduce the incidence of predation at a facility.

Other actions that show a clear indication of improving growth & survival of Fall Run, Spring Run, or Winter Run Chinook salmon, and Steelhead trout.

These actions should include the following tasks:

Conduct pre-and post-project site surveys and monitoring to document the effectiveness of projects at improving salmonid habitat, per the SIT Tier 1 Monitoring guideline; and

Coordinate activities with a local watershed restoration group or an interagency restoration group consisting of agencies and local stakeholders.

C.3.1.1 Priorities for Eligible Projects

The following are project priorities (from Table 8, NTRS) in the Central Valley of California. Tier 2 & Tier 3 monitoring projects are not eligible.

NTRS Restoration Action Runs Primarily Benefiting Action 1: Juvenile habitat restoration in mainstem Sacramento River above the American River confluence.

All

Action 2: Reconnect ephemeral non-natal tributaries below Keswick Dam to the mainstem Sacramento River.

Winter

Action 3: Juvenile habitat restoration in Battle Creek in winter-run juvenile rearing locations.

Winter

Action 4: Juvenile habitat restoration in American River.

Fall

Action 5: Juvenile habitat restoration in the Stanislaus River downstream through the San Joaquin River at Vernalis.

Fall

NTRS Restoration Action Runs Primarily Benefiting Action 6: Juvenile habitat restoration in Clear Creek.

Spring, Fall

Action 7: Improve survival in Butte Creek in downstream areas.

Spring, Fall

Action 8: Juvenile habitat restoration in the lower Feather River below the confluence of the Yuba River.

Fall, Spring

Action 9: Maintain existing spawning habitats in Upper Sacramento, American, and Stanislaus Rivers; Clear and Butte Creeks.

All

C.3.1.2 Identified Un-Funded Projects

Reclamation and the Service also seek applications to accomplish non-flow projects that are part of the Proposed Action of the Biological Assessment and the 2019 Biological Opinions of the Long Term Operation of the Central Valley Project. These include:

Predator Hot Spot Removal (Partial CVPIA Efforts) Tidal Habitat Restoration (Established State Programs) Lower San Joaquin River (below Mendota Pool) Habitat Small Screen Program

Specific projects prioritized by the Sacramento River Restoration Technical Team and not yet funded are the following listed by project name and river mile. The tiers represent priorities of the group with Tier 1 being highest priority and Tier 3 being lowest priority. Other project sites not listed below and otherwise meeting the criteria could also be funded. The authority covering each project site follows each site name.

Tier 1:

Mooney Unit 235 (b)(1)

Tier 2:

Wyndham 293.8 (b)(13) I-5 280.4 (b)(13) La Barranca 239.7 (b)(1) Oklahoma Island 238 (b)(1) Foster Island 211 (b)(1)

Tier 3:

Salt Creek gravel 300.7 (b)(13) Cow Creek 280.6 (b)(13) China Garden 279.2 (b)(13) Rancho Breisgau 274.4 (b)(13) Jellys Ferry 268 (b)(13) Altube Island 242.5 (b)(1) Flynn Unit 231 (b)(1)

C.3.1.3 SIT Monitoring Guidelines & Data Guidance

All on-the-ground projects should include Implementation, or Tier 1, monitoring tasks and associated costs, described in a Monitoring Study Design section of the application. The CVPIA SIT Monitoring Guidelines contain specifics on all levels of monitoring. Tier 2 & Tier 3 monitoring projects are not eligible.

Monitoring guidelines are found at http://cvpia.scienceintegrationteam.com/about/

Moreover, a key aspect of the study design are details of the data management plan and compliance with the CVPIA Data Guidance. The SIT Data Guidance is available at http://cvpia.scienceintegrationteam.com/about/.

C.3.2. Ineligible Projects

Projects specifically not identified in C.3.1. Eligible Projects, nor meeting one of the NTRS priorities or listed as a non-flow project within the 2019 Proposed Action of the CVP BA, will not be eligible for funding consideration. Proposals that are non-responsive or incomplete will not be eligible for funding consideration. Tier 2 & Tier 3 monitoring projects are not eligible.

C.3.3. Term of Projects

Projects funded under this NOFO should be completed within five years of award.

Contact the program coordinators identified in Section G. Agency Contacts for consideration of projects anticipated to require more than four years to complete.

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 NOFO by contacting:

By mail: Bureau of Reclamation

Financial Assistance Branch Attn: Steven Larson 2800 Cottage Way, Room E-1815 Sacramento, CA 95825

By email: snlarson@usbr.gov

By telephone: (916) 978-5693

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 criteria section (defined below) should be limited to a maximum of 30 consecutively numbered pages. If this section of the application exceeds 75 pages, only the first 75 pages will be evaluated. The font should be at least 11 points in size and easily readable. Page size should be 8½ by 11 inches.

Charts, maps, and drawings page size may be as large as 11 by 17 inches. Margins should be standard 1-inch margins.

Applications will be prescreened for compliance to the above page number and page size limitations. Excess pages will be removed and not considered in the evaluation of the proposed project.

D.2.2. Application Content

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

Mandatory Federal Forms (As applicable):

o Standard Form (SF)-424 Application for Federal Assistance o SF-424C Budget Information for Construction Projects o SF-424D Assurances for Construction Projects o SF-LLL Disclosure of Lobbying Activities (If applicable. The SF-LLL form is available with this Funding Opportunity on Grants.gov. See 43 CFR, Subpart 18.100 for more information on when additional submission of this form is required.)

o Project/Program Milestones/Work Schedule o Verification of System of Award Management (SAM) account

These 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 ~30 pages):

o Executive summary o Background data o Project location o Project description o Evaluation criteria

Project budget:

o Funding plan o Budget proposal o Budget narrative

Project/Program Milestones/Work Schedule

Required permits or approvals

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 SF-424, Application for Federal Assistance signed by a person legally authorized to commit the applicant to performance of the project must be submitted with the application. Failure to submit a properly signed SF-424 may result in the elimination of the application from further consideration.

SF-424C Budget Information

A fully completed SF-424C Budget Information for Construction Programs must be submitted with the application.

SF-424D Assurances

A SF-424D Assurances for Construction Programs signed by a person legally authorized to commit the applicant to performance of the project shall be included. Failure to submit a properly signed SF-424D may result in the elimination of the application from further consideration.

SF-LLL Disclosure of Lobbying Activities (if applicable)

A fully completed and signed SF-LLL, Disclosure of Lobbying Activities is required if the applicant has made or agreed to make payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action.

ASAP Registration

All applicants must maintain an ASAP registration with current information at all times while they have an active Federal award or an application under consideration. Please provide verification of an open and active ASAP account.

SAM Registration

All applicants must maintain an active SAM registration with current information at all times while they have an active Federal award or an application under consideration. Please provide verification of an open and active SAM account. A screenshot of your SAM account submitted with your application will be considered verification.

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 (~30 pages maximum) include:

(1) Executive summary

(2) Background data

(3) Project location

(4) Project description

(5) 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 NOFO.

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

Whether or not the project is located on Federal land.

Background Data

Provide a map of the area showing the location of the proposed projects. The map should easily identify the project area and major geographic features including roads, streams, reservoirs, towns, and canals.

Identify known landowners, easements, and utility rights of way.

Describe habitat conditions in the area regarding carrying capacity for the target fish species and include the expected limiting factors to salmonid productivity within the project reach and through the rest of the lifecycle from the project area through the Bay Delta and the ocean.

Describe the applicant’s relationship to habitats of the Sacramento River, San Joaquin River below Mendota Pool, Bay Delta, and tributaries.

Identify any past working relationships with Reclamation. This should include the date(s), description of the relationship(s) with Reclamation, and a description of the projects(s).

Describe any other relevant background information.

Project Location

Provide specific information on the proposed planning area (e.g., watershed, basin, county). Please also provide location information for the planning area (i.e., outline of the area) in one of the following formats:

1. Shapefile (.shp)

2. KMZ/KML (.kmz or .kml) aka Google Earth File

3. PDF map (.pdf)

Project Description

The project description should describe the work in detail, including specific activities that will be accomplished. This description should have enough detail to allow a comprehensive evaluation of the proposal.

Provide an estimated project schedule demonstrating the stages and duration of the proposed work, including major milestones and dates.

Briefly describe and summarize any engineering plans, designs, and analyses to be prepared in connection with the proposed project.

Describe working closely with Reclamation and/or the Service to implement salmonid habitat restoration projects and coordinating with agencies and other appropriate entities in selecting project sites, conducting site surveys, obtaining permits for projects and monitoring effects of projects on the environment.

Typical objectives and tasks involved in completing an aquatic habitat improvement project are shown below.

Objective: Restore side channels, floodplain, riverbank, spawning and other important salmonid habitats to improve spawning, rearing, holding, and migratory habitats for freshwater life stages of anadromous salmonids in Central Valley rivers and their tributaries.

Conduct site investigations Contact and arrange agreements with landowners Conduct site surveys and investigations as needed for project permitting and design Obtain approval to implement identified projects through environmental compliance and permitting. Potentially needed permits include National Environmental Policy Act required analysis (potentially California Environmental Quality Act) and documentation on environmental effects.

Obtain permits as needed for the project such as the Clean Water Act Section 401 and 404 permits, Endangered Species Act (ESA) coverage through National Oceanic and Atmospheric Administration Fisheries and the US Fish and Wildlife Service, State Lands Commission lease and flood risk assessments

Complete project designs and model design performance (biological and physical) through an interactive process with input from the interagency coordination group

Conduct topographic site surveys before, during and following projects to assess the change in conditions from the project

Objective: Implement project designs for salmonid habitat restoration projects.

Implement in-channel rearing habitat, side channel habitat, spawning habitat, floodplain habitat, and fish passage projects. Include habitat structure using woody material, planting, and rock as needed to optimize habitat value.

Objective: Conduct pre and post biological and physical monitoring, per the SIT Tier 1 Monitoring guidance, to evaluate the effectiveness of the projects at meeting the needs of the targeted species.

Survey for and document juvenile and adult salmonid habitat use, timing, sizes, and intensity of use. Include macroinvertebrate and water quality monitoring as needed to document project effectiveness. Compare habitat project sites to other control sites in the river before and after implementation. Document and report monitoring results. Ensure monitoring meets Science Integration Team monitoring guidelines.

Objective: Coordinate activities within the Interagency Restoration group.

Prioritize activities with the group and maintain a public website for dissemination of activities to the group members and the public.

Demonstrated Results Explain how this project will benefit the salmonid populations in the Central Valley Rivers and tributaries. Be specific by including measurable outcomes.

Describe how objectives will be addressed.

Provide the following information regarding project benefits:

(a) The benefit to the species should be expressed as an increase in the area of available habitat to the species (ESA and non-ESA listed) due to the proposed actions. Exceptions may be considered, but the benefit must be expressed as habitat area (per Section E.1 Evaluation Criteria).

(b) Provide documentation and support for how estimates of direct project benefits and any indirect project benefits were made (i.e., calculations, measurements, and references) (per Section E.1 Evaluation Criteria).

Need for the Project and Community Involvement Explain the need for the proposed project to include:

The urgency of the project.

The negative consequences or potential impacts if not implemented.

Other information relevant to the need of the proposed project.

Describe any public outreach that the applicant has provided to groups or individuals that may be affected by the project. Include how other local agencies might be involved in the project, third party impacts, and any opposition to the proposed project.

Evaluation Criteria

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

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

We suggest that applicants copy and paste the evaluation criteria and sub criteria in Section E.1. 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

(2) Budget proposal

(3) Budget narrative

Funding Plan

Describe how the non-Federal share of project costs will be obtained.

Reclamation will use this information in making a determination of financial capability.

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.

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 $

Table 2. Summary of Non-Federal and Federal Funding Sources

FUNDING SOURCES AMOUNT

Non-Federal Entities

1.

2.

3.

Non-Federal Subtotal

REQUESTED RECLAMATION FUNDING

The budget proposal should include detailed information on the categories listed below and must clearly identify all items of cost, 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.

Reclamation requires applicants to use the budget proposal format shown below in Table 3. If selected for award, successful applicants must submit detailed supporting documentation for all budgeted costs.

Table 3.—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 $

Supplies and Materials

Item A $

Item B $

Contractual/Construction

Contractor A $

Contractor B $

Third-Party Contributions

Third-Party Contributions $

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).

Note: All successful applications will undergo a rigorous cost-price analysis and multi-level review prior to award of Federal funding. The budget narrative’s cost items will be used for this analysis. If the grant application does not contain the appropriate amount of detail and supporting documentation, the award process will be delayed, and may result in the elimination of the application from further consideration.

The Budget Narrative Should Support Table 3.

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 should 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. Reporting – Requirements and Distribution 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. Note: travel costs incurred by contractors should not be included in this section but can be included in the contract cost estimate.

Equipment

Budget proposals should not include the purchase of equipment. Per 2 CFR §200.1, equipment means tangible personal property (including information technology systems) having a useful life of more than one year and a per-unit acquisition cost which equals or exceeds the lesser of the capitalization level established by the non-Federal entity for financial statement purposes, or $5,000.

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 provided by a consultant, the costs should be included in the consultant contract cost estimate.

Contractual

Identify all work that will be accomplished by 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 procurements with an anticipated aggregate value that exceeds the Simplified Acquisition Threshold (currently $250,000) must use a competitive procurement method (see 2 CFR §200.320 – Methods of procurement to be followed). 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 procurements, 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 NOFO.

Other Expenses

Any other expenses not included in the above categories should 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 §200.1 available at www.ecfr.gov. 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.

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 each rate. Information on “Preparing and Submitting Indirect Cost Proposals” is available from the Department’s Interior Business Center, and Indirect Cost Services, at https://www.doi.gov/ibc/services/finance/indirect-cost-contract-audit .

D.2.2.6. Project/Program Milestone Plan/Work Schedule

The intent of the work schedule is to provide a realistic appraisal of the time and components required to complete the project.

Describe each of the major work elements and milestones.

State the total timeframe anticipated for each of the work elements.

State the total timeframe anticipated to complete the project.

Work schedule must mirror statement of work (SOW), budget:

Provide the work schedule in GANTT chart form as supplemental documentation in the work schedule section.

WORK SCHEDULE EXAMPLE

# DESCRIPTION TIMEFRAME

1. Kick-off, 90% design meetings 3 months

2. Final contract drawing development 5 months

3. Open bids and award contract 4 months

4. Construction – Mobilization 5 months

5. Construction – Demolition 4 months

6. Construction – Concrete and conduit work 2 months

7. Construction – Trenching 2 weeks

8. Construction – Utility relocation 4 months

9. Construction – Electrical Installation 1 month

10. Construction – Site Restoration 1 week

11. Construction – Complete punch list 2 months

12. Construction – Demobilization 1 week

13. Project Close-out and record drawings 2 months

14. Grant Close out 3 months

TOTAL MONTHS: 36 months

The applicant should provide their unique milestone schedule per their set of tasks. This table is provided as an example only, it is not a template.

D.2.2.7. Required Permits or Approvals

Applicants must state in the application whether any permits or approvals are required and explain the plan for obtaining such permits or approvals.

D.2.2.8. Existing Drought Contingency Plan (if applicable)

If there is an existing drought contingency plan addressing the relevant geographic area, please attach a copy (or relevant sections) of the existing plan.

D.3. Unique Entity Identifier and System for Award Management

All applicants (unless the applicant has an exception approved by Reclamation under 2 CFR §25.110[d]) are required to:

(i) be registered in SAM before submitting its application;

(ii) provide a valid unique entity identifier in its application; and

(iii) continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency.

Meeting the requirements set forth above is mandatory. If the applicant is unable to complete registration by the application deadline, the applicant must seek and be issued an exception from the Grant Officer, under 2 CFR§ 25.110. In all cases the Unique Entity Identifier and SAM registration must be obtained.

SAM registration and Unique Entity Identifier must be completed..

Reclamation will not make a Federal award to an applicant until the applicant has complied with all…