DCP NOFO-2-14-2022-508.pdf

U.S. Department of the Interior February 2022

Funding Opportunity Announcement No. R22AS00178

WaterSMART Drought Response Program:

Drought Contingency Planning Grants for Fiscal Year 2022

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; 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.

Cover Photo –Dry, cracked lakebed with unsubmerged boat ramps. (Reclamation)

Synopsis i

Synopsis

Federal Agency Name: Department of the Interior, Bureau of Reclamation, Water Resources & Planning Office

Funding Opportunity Title: WaterSMART Drought Response Program: Drought Contingency Planning Grants for Fiscal Year 2022

Announcement Type: Notice of Funding Opportunity (NOFO)

Funding Opportunity R22AS00178 Number:

Catalog of Federal Domestic 15.514 Assistance (CFDA) Number:

Dates: Application Due Date:

(See NOFO Sec. D.4) Thursday, April 14, 2022

4:00 p.m. Mountain Daylight Time

Eligible Applicants: States, Indian tribes, irrigation districts, water districts, or other organizations with water or power delivery authority located in the (See NOFO Sec. C.1) Western United States including Arizona, California, Colorado, Hawaii, Idaho, Kansas, Montana, Nebraska, Nevada, New Mexico, North Dakota, Oklahoma, Oregon, South Dakota, Texas, Utah, Washington, and Wyoming.

In addition, applicants must also participate in a Reclamation technical consultation prior to submission of an application.

Recipient Cost Share: In general, 50 percent or more of total project costs. In exceptional circumstances, a reduction or waiver of the non-Federal cost share (See NOFO Sec. C.2) may be considered.

Federal Funding Amount: Up to $200,000 per agreement for a project that can be completed within two years. (See NOFO Sec. B)

Estimated Number of Approximately 5-10 projects per application submittal period Agreements to be Awarded: contingent upon available Federal appropriations.

(See NOFO Sec. B)

Intergovernmental Review: This NOFO is subject to Executive Order 12372, “Intergovernmental Review of Federal Programs.” A list of states that have elected to (See NOFO Sec. D.5) participate in the intergovernmental review process is at Intergovernmental Review (SPOC List) | The White House (archives.gov).

https://obamawhitehouse.archives.gov/omb/grants_spoc#:%7E:text=Executive%20Order%2012372%2C%20%22Intergovernmental%20Review%20of%20Federal%20Programs%2C%22,proposed%20Federal%20financial%20assistance%20and%20direct%20Federal%20development.

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Application Checklist iii

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 Financial Assistance

Budget Information Assurances

Project Abstract Summary

Disclosure of Lobbying Activities

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

Title page See Sec. D.2.2.2 Page 11 *

Table of contents See Sec. D.2.2.3 Page 11 *

Technical proposal: *

Executive summary See Sec. D.2.2.4 Page 11 *

Project location See Sec. D.2.2.4 Page 12

Project description See Sec. D.2.2.4 Page 12 *

Evaluation criteria See Sec. E.1 Page 25 *

Project Budget: *

Funding plan See Sec. D.2.2.5 Page 13 *

Budget proposal See Sec. D.2.2.5 Page 13 *

Budget narrative See Sec. D.2.2.5 Page 16 *

Required permits or approvals See Sec. D.2.2.6 Page 17 *

Letters of support See Sec. D.2.2.8 Page 18 *

Official Resolutions See Sec. D.2.2.9 Page 18 **

Unique Entity Identifier and System for Award Management

See Sec. D.3 Page 20 ***

* 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 extended completion date.

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

Acronyms and Abbreviations v

Acronyms and Abbreviations ASAP Automated Standard Application for Payments ARC Application Review Committee CFDA Catalog of Federal Domestic Assistance CFR Code of Federal Regulations D&B Dun & Bradstreet Department U.S. Department of the Interior DUNS Data Universal Number System E.O. Executive Order EIN Employer Identification Number FAIR Financial Assistance Interior Regulation FAPIIS Federal Award Performance Integrity Information System FEMA Federal Emergency Management Agency FGDC Federal Geospatial Data Committee FOIA Freedom of Information Act FY Fiscal Year GIS geographic information system IBC Interior Business Center NOFO Notice of Funding Opportunity O&M operations and maintenance OMB Office of Management and Budget P.L. Public Law Reclamation Bureau of Reclamation SAM System of Award Management SPOC Single Point of Contact Task Force Drought Planning Task Force U.S.C. United States Code UEI Unique Entity ID WaterSMART Sustain and Manage America’s Resources for Tomorrow

Contents vii

Contents Page

Section A. Program Description A.1. Authority A.2. Background, Purpose, and Program Requirements A.3. Notice of Funding Opportunity Objectives A.4. Other Related Funding Opportunities

Section B. Award Information B.1. Total Funding B.2. Expected Award Amount B.3. Anticipated Announcement and Federal Award Date B.4. Number of Awards B.5. Type of Award

Section C. Eligibility Information C.1. Eligible Applicants C.2. Cost Sharing Requirements C.3. Other C.4. Eligible Projects C.5. Required Project Components

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. Funding Restrictions D.7. Automated Standard Application for Payments Registration

Section E. Application Review Information E.1. Evaluation Criteria E.2. Review and Selection Process E.3. Federal Award Performance Integrity Information System

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. Disclosures F.5. Data Availability F.6. Releasing Applications

Section G. Agency Contacts G.1. Program Coordinator Contact G.2. Financial Assistance Contact G.3. Application System Technical Support

Attachment 1. Request for a Cost Share Reduction or Waiver Attachment 2. Project Requirements

Section A. Funding Opportunity Description

Section A. Program Description

A.1. Authority This Notice of Funding Opportunity (NOFO) is issued under the authority of Title I of the Reclamation States Emergency Drought Relief Act of 1991 (Public Law [P.L.] 102-250, 43 United States Code [U.S.C.] Section 2201, et seq.), as amended.

A.2. Background, Purpose, and Program Requirements The U.S. Department of the Interior’s (Department) WaterSMART (Sustain and Manage America’s Resources for Tomorrow) Program provides a framework for Federal leadership and assistance to stretch and secure water supplies for future generations in support of the Department’s priorities. Through WaterSMART, the Bureau of Reclamation (Reclamation) leverages Federal and non-Federal funding to work cooperatively with States, Tribes, and local entities as they plan for and implement actions to increase water supply reliability through investments in existing infrastructure and attention to local water conflicts. WaterSMART provides support for the Department’s priorities, including addressing the drought crisis and tackling the climate crisis.

Drought conditions across the West continue to impact a wide range of communities and sectors, including agriculture, cities, Tribes, the environment, recreation, hydropower producers, and others. As of January 2022, the U.S. Drought Monitor indicates that more than 87% of the land in nine of the Western states is experiencing drought conditions, and nearly 30% of the area is experiencing extreme or exceptional drought.

The WaterSMART Drought Response Program supports a proactive approach to drought by providing financial assistance to develop and update comprehensive drought plans (Drought Contingency Planning) and implement projects that will build long-term resilience to drought (Drought Resiliency Projects). The WaterSMART Drought Contingency Planning Grants provide support for priorities identified in Presidential Executive Order (E.O.) 14008: Tackling the Climate Crisis at Home and Abroad and aligned with other priorities, such as those identified in E.O. 13985: Advancing Racial Equity and Support for Underserved Communities Through the Federal Government. Drought Contingency Planning grants also support the goals of the Interagency Drought Relief Working Group established in March 2021 and the National Drought Resiliency Partnership.

This NOFO supports the development and update of Drought Contingency Plans that will build long-term resiliency to drought.

Through this NOFO, Reclamation provides funding for planning that, when implemented, will increase water reliability and improve water management through the use of expanded technologies and improved modeling capabilities.

For further information on the Drought Response Program, please see https://www.usbr.gov/ drought.

For further information on the WaterSMART Program, please see www.usbr.gov/WaterSMART.

A.3. Notice of Funding Opportunity Objectives This NOFO’s objective is to invite States, Tribes, irrigation districts, water districts, and other organizations with water or power delivery authority to leverage their money and resources by cost sharing drought contingency planning with Reclamation to build resilience to drought in advance of a crisis. Applicants under this NOFO may request funding to develop a new drought plan or to update an existing drought plan (collectively, Drought Contingency Plans).

A.4. Other Related Funding Opportunities Reclamation provides funding for WaterSMART Drought Resiliency Projects that includes financial assistance provided under the Drought Response Program, on a 50/50 cost share basis, to complete projects that will build long-term resilience to drought by increasing the reliability of water supplies, improving water management, or providing benefits for fish and wildlife and the environment.

Through WaterSMART, Reclamation also provides financial assistance on a competitive basis for Applied Science Grants. Through these grants, Reclamation provides funding to non-Federal entities to develop tools and information to support water management for multiple uses. Eligible projects include developing modeling and forecasting tools, hydrologic data platforms, and new data sets...

WaterSMART’s Environmental Water Resources Projects focus on environmental benefits developed as part of a collaborative process to help carry out an established strategy to increase the reliability of water resources. Reclamation provides cost-share funding for projects that include water conservation and efficiency projects that result in quantifiable and sustained water savings and benefit ecological values; water management or infrastructure improvements to mitigate drought-related impacts to ecological values; and watershed management or restoration projects benefitting ecological values that have a nexus to water resources or water resources management.

WaterSMART’s Water and Energy Efficiency Grants focus on projects that conserve and use water more efficiently; increase the production of hydropower; mitigate conflict risk in areas at a high risk of future water conflict; and accomplish other benefits that contribute to water supply reliability in the Western United States.

For more information on Drought Resiliency Projects, Applied Science Grant, Environmental Water Resources Projects, Water and Energy Efficiency Grant, or other WaterSMART programs, please visit the WaterSMART Program website at https://www.usbr.gov/WaterSMART.

https://www.usbr.gov/drought https://www.usbr.gov/drought https://www.usbr.gov/watersmart https://www.usbr.gov/watersmart/index.html

Section B. Award Information

Section B. Award Information

B.1. Total Funding The President’s FY 2021 Budget included $16.5 million for the Drought Response Program.

Reclamation will determine the final amount of funding available for award under this NOFO once final FY 2022 appropriations are made. The amount of funding available for awards under this NOFO will depend on the demand for funding under this and other elements of the Drought Response Program.

B.2. Expected Award Amount Maximum Award: $200,000

Minimum Award: $0 The Federal share (Reclamation’s share in addition to any other sources of Federal funding) for any project generally shall not exceed 50 percent of the total costs. Generally, the non-Federal share of project costs must be expended at the same or greater rate as the Federal share of project costs.

A maximum of $200,000 in Federal funding may be awarded under this NOFO. Generally, the non- Federal share of costs must be expended at the same or greater rate as the Federal share of costs.

Note: For this NOFO, the terms “project” and “plan” are used interchangeably and refer to the applicant’s proposed Drought Contingency Plan.

B.3. Anticipated Announcement and Federal Award Date Anticipated Award Date: 11/30/2022

Reclamation expects to contact potential award recipients and unsuccessful applicants in the summer of 2022 (or later if necessary), subject to the timing of final FY 2022 appropriations.

Anticipated Project Completion Date: 11/30/2024

B.4. Number of Awards Approximately 5 to 10 awards, depending on the amount requested by each applicant and the amount of funding available, will be awarded under this NOFO.

B.5. Type of Award Awards will be made through cooperative agreements. Recipients should expect Reclamation to have substantial involvement in the project. Substantial involvement by Reclamation will 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 will include review, input, and approval at key interim stages of the plan, including input regarding the composition of the Drought Planning Task Force (Task Force), review and acceptance of detailed work plans, and review of the Drought Contingency Plan for conformance to program goals and objectives.

At the recipient’s request, Reclamation can provide technical assistance after award of the project. If you receive Reclamation’s assistance, you must account for these costs in your budget. To discuss available assistance and these costs, contact the program coordinator identified in Section G. Agency Contacts.

While the application is for the entire drought contingency planning process, if selected for award, the cooperative agreement for the project will consist of two phases:

• Phase I for the establishment of a Task Force and development of a Detailed Work Plan (includes Communication and Outreach Plan) and

• Phase II for the plan development.

Initially, the cooperative agreement will be limited to Phase I activities and will only obligate the Federal share of the estimated costs for the completion of these activities. In addition, the initial period of performance for the cooperative agreement will be limited to the time necessary to complete Phase I activities (generally six months). Reclamation will work closely with the recipient to develop a detailed work plan that will meet program requirements. After the detailed work plan is reviewed and accepted by Reclamation, the agreement will be modified to incorporate the costs of Phase II activities, obligate the remaining Federal funds, and extend the period of performance.

Section C. Eligibility Information

C.1. Eligible Applicants

C.1.1. Eligible Applicants

An eligible applicant is a State, Tribe, irrigation district, water district, or other organization with water or power delivery authority that completes the required technical consultation described below.

Applicants must also be in one of the following states: Arizona, California, Colorado, Hawaii, Idaho, Kansas, Montana, Nebraska, Nevada, New Mexico, North Dakota, Oklahoma, Oregon, South Dakota, Texas, Utah, Washington, and Wyoming.

C.1.2. Required Technical Consultation

To be eligible under this NOFO, applicants must participate in a technical consultation with Reclamation Drought Coordinator before developing a proposal. During this technical consultation, the Reclamation Drought Coordinator will discuss Drought Response Program objectives, the six required elements of a drought plan or plan update (as outlined in Attachment 2), planning steps, and eligible tasks. The technical consultation will provide interested applicants an opportunity to ask questions about the Drought Response Program and ensure that there is a clear understanding of program requirements. Reclamation reserves the right to remove an application from consideration if a technical consultation was not completed.

To schedule a technical consultation, contact the program coordinator identified in Section G. Agency Contacts.

C.1.3. Ineligible Applicants

Those not eligible include, but are not limited to, the following entities:

• Federal governmental entities

• Institutions of higher education

• Individuals

• 501(c)4 organizations

• 501(c)6 organizations

C.2. Cost Sharing Requirements In general, applicants must be capable of cost sharing 50 percent or more of the total costs of the Drought Contingency Plan (also referred to as Project Costs). Applicants with sufficient resources may choose to contribute a non-Federal cost share that is greater than 50 percent in order to develop more complex plans. Cost sharing may be made through cash or in-kind contributions or donations from the applicant or third-party partners. 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. Funding Plan and Letters of Commitment and D.2.2.9. Official Resolution for more information regarding the documentation required to verify commitments to meet cost sharing requirements.

In exceptional circumstances and upon request of the applicant, Reclamation may reduce or waive the non-Federal cost share requirement, if an overwhelming Federal interest and a significant financial need are identified. The criteria used by Reclamation to evaluate requests to reduce or waive the non-Federal cost share requirement are set forth below. Applicants requesting a reduction or waiver of the non-Federal cost share must state their request in their proposal and include the required information demonstrating support for the existence of an overwhelming Federal interest and financial hardship, as indicated in Attachment 1. The documentation will not count towards the page total limitations set forth in Section D.2.1. Application Format and Length.

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) §200 available at https://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 regarding the valuation of third-party in-kind contributions.

https://www.ecfr.gov/

C.3. Other Reclamation conducts a review of the SAM.gov Exclusions database for all applicant entities and their key project personnel prior to award. Reclamation cannot award funds to entities or their key project personnel identified in the SAM.gov Exclusions database as ineligible, prohibited/restricted, or otherwise excluded from receiving Federal contracts, certain subcontracts, and certain Federal assistance and benefits, as their ineligibility condition applies to this Federal program.

C.4. Eligible Projects

C.4.1. Eligible Projects

Proposals to develop a new Drought Contingency Plan (Task A), or to update to an existing plan (Task B), are eligible for funding under this NOFO. Projects funded under this NOFO must include the required project components identified in Section C.5. Required Project Components. Projects considering multiple entities working together to meet the required project components across multiple applications are also eligible for funding under this NOFO.

C.4.2. Ineligible Projects

Proposals to develop planning studies other than Drought Contingency Plans are not eligible for funding under this NOFO. This includes proposals to develop appraisal investigations, feasibility studies, special studies, Basin Studies, or studies authorized under the Title XVI Water Recycling and Reuse Program, through P.L.102-575, as amended (43 U.S.C. 390h et seq.), or under the Rural Water Program, pursuant to the Rural Water Supply Act of 2006, P.L.109-451.

Proposals to develop one or more elements of a Drought Contingency Plan that would not result in a completed plan within the timeframe listed in this NOFO are not eligible for funding consideration.

C.4.3. Length of Projects

Projects funded under this NOFO should be completed within two years of award, including the required Reclamation review of the Drought Contingency Plan.

https://sam.gov/content/exclusions https://sam.gov/content/exclusions

C.5. Required Project Components Proposed projects submitted in response to this NOFO should be divided into two phases (Phase I and Phase II) and must include each of the project components described below. The program requirements described here are intended to increase the transparency of the planning process, encourage collaboration and participation by interested stakeholders, and ensure that the Drought Contingency Plan will meet program requirements upon completion.

C.5.1. Phase I

Phase I must include the Establishment of a Drought Planning Task Force, Development of a Detailed Work Plan, and Development of a Communication and Outreach Plan. Additional information regarding Phase I is described in Attachment 2.

C.5.2. Phase II

After the detailed work plan is reviewed and accepted by Reclamation, the planning lead designated by the applicant will then develop the plan or plan update including the required Drought Contingency Plan elements described in Attachment 2.

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 NOFO by emailing the Notice of Funding Opportunity staff at bor-sha-fafoa@usbr.gov.

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) shall be limited to a maximum of 15 consecutively numbered pages. If this section of the application exceeds 15 pages, only the first 15 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, including charts, maps, and drawings. Margins should be standard 1-inch margins. Oversized pages will not be accepted.

Applications will be prescreened for compliance to the above page number limitation. 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 (See Section D.2.2.1):

o SF-424 Application for Federal Assistance o SF-424A Budget Information o SF-424B Assurances o Project Abstract Summary (Office of Management and Budget [OMB]

Number 4040-0019) o SF-LLL Disclosure of Lobbying Activities (if applicable)

These forms may be obtained at www.grants.gov/web/grants/forms/sf-424-family.html mailto:bor-sha-fafoa@usbr.gov mailto:bor-sha-fafoa@usbr.gov http://www.grants.gov/web/grants/forms/sf-424-family.html

• Title page

• Table of contents

• Technical proposal and evaluation criteria (limited to 15 pages):

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

• Project budget:

o Funding plan and letters of commitment o Budget proposal o Budget narrative

• Required permits or approvals

• Existing drought contingency plan (if applicable). A link to access the existing plan is sufficient.

• Letters of project support and stakeholder commitment to partake in the planning process

• Official resolution

• Request for cost share reduction or waiver and supporting documentation (if applicable)

D.2.2.1. Mandatory Federal Forms The application must include the following standard Federal forms.

SF-424 Application for Federal Assistance Applicants must submit the appropriate Standard Form (SF)-424, Application for Federal Assistance. The required application forms are available with this announcement on Grants.gov. The SF-424, Application for Federal Assistance must be complete, signed, and dated. Do not include any proprietary or personally identifiable information. Please note: Enter only the amount requested from this Federal program in the “Federal” funding box on the SF-424 Application form. Include any other Federal sources of funding in the “Other” box and provide details on those Federal source(s) and funding amount(s) in the required Budget Narrative (see the “Budget Narrative” section below).

SF-424A Budget Information for Non-Construction Programs

Applicants must submit the appropriate SF-424 Budget Information form and Budget Narrative.

For non-construction programs or projects, applicants must complete and submit the SF-424A, “Budget Information for Non-Construction Programs” form. All of the required application forms are available with this announcement on Grants.gov. Federal award recipients and subrecipients are subject to Federal award cost principles in 2 CFR 200.

SF-424B Assurances for Non-Construction Programs A SF-424B Assurances for Non-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-424B or SF-424D may result in the elimination of the application from further consideration.

SF-LLL Disclosure of Lobbying Activities A fully completed and signed SF-LLL, Disclosure of Lobbying Activities is required 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.

Project Abstract Summary A fully completed Project Abstract Summary (OMB Form 4040-0019) must be submitted with the application. The Project Abstract Summary should include the purpose of the project, the activities to be performed, the expected deliverables or outcomes, the intended beneficiaries, and any subrecipient activities, if known.

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 (15 pages maximum) include:

(1) Executive summary

(2) Project location

(3) Project description

(4) Evaluation criteria

Executive Summary The executive summary should include:

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

• A one paragraph project summary that describes the planning area, the work that will be carried out, and recent drought conditions in your project area. This information will be used to create a summary of your project for our website if the project is selected for funding.

Example: Western Municipal Water District provides water and wastewater services to retail customers and wholesale agencies in western Riverside County, California, serving a population of over 880,000 people.

The District will convene a local task force and develop a comprehensive Drought Contingency Plan that considers impacts to local water supplies and infrastructure that will help Western customers during the next drought. The planning area experienced a multi-year drought from 2014-2017. The District will leverage existing planning efforts such as its 1992 Drought Contingency Plan and 2015 Water Supply Shortage Contingency Plan. This drought plan will complement the WaterSMART Santa Ana Watershed Basin Study.

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

• State whether or not a Reclamation project, facility, or activity is located within the geographic area to be addressed in the proposed Drought Contingency Plan.

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 shall have sufficient detail to permit a comprehensive evaluation of the proposal. The project description should clearly indicate if the proposal is for Task A (Develop Drought Contingency Plan) or Task B (Update Drought Contingency Plan). Proposals should address the requirements for conducting a Drought Contingency Plan or plan update under the Drought Response Program, identified in Attachment 2.

Evaluation Criteria (See Section E.1. 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. 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

Note: Budget proposals should not include costs that have already been incurred or are anticipated to be incurred prior to the award of the financial assistance agreement. Pre-award costs are for projects funded under this NOFO are limited and must have pre-approval. Pre-award costs incurred prior to March 15, 2022, will not be allowed.

Please note that the costs for preparing and applying in response to this NOFO, including the development of data necessary to support the proposal, are not eligible project costs under this NOFO and must not be included in the project budget.

Funding Plan and Letters of Commitment Describe how the non-Federal share of project costs will be obtained. 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. 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 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 NOFO until the recipient has secured 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.

Please identify the sources of the non-Federal cost share contribution for the project, including:

• 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 explain how the project will be affected if such funding is denied.

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

Denote in-kind contributions with an asterisk (*).

Tables 1 and 2 should include the combined costs for both Phase I and II. Applicants are encouraged to apply for the full amount of Federal funding, as non-Federal cost-share permits. This amount will be refined during Phase I of the cooperative agreement.

FUNDING SOURCES AMOUNT

Non-Federal Entities

1.

2.

3.

Non-Federal Subtotal

REQESTED 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 (Table 2).

Table 2. —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 $

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. If you have any questions regarding your budget proposal or eligible costs, please contact the grants management specialist identified in Section G. Agency Contacts.

It is strongly advised that applicants use the budget proposal format shown in Table 2 or a similar format that provides this information. It is also strongly advised that applicants use the budget proposal format shown in Table 3 or a similar format that provides this information. If selected for award, successful applicants must submit detailed supporting documentation for all budgeted costs.

Table 1.—Summary of Non-Federal and Federal Funding Sources

Budget proposals should only include the costs associated with the completion of Phase I project components. The budget proposal for Phase II will be developed during Phase I.

Table 3 should be used to describe only the costs associated with Phase I. The budget proposal for Phase II will be developed during Phase I.

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 $

Equipment

Item A $

Item B $

Supplies and Materials

Item A $

Item B $

Contractual/Construction

Contractor A $

Contractor B

Third-Party In-Kind Contributions

Contributor A $

Contributor 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 §200.

The budget narrative should support Table 3 (i.e., only describe costs associated with Phase I).

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. 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 §200.33, 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 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 §200.327 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, and all other requirements of this NOFO.

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 that will be incurred during the development or construction of a Project, which will not otherwise be recovered, may be included as part of the applicant’s Project budget. Show the proposed rate, cost base, and proposed amount for allowable indirect costs based on the applicable cost principles for the recipient’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.

D.2.2.6. 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.2.2.7. Existing Drought Contingency Plan (if applicable) If there is an existing Drought Contingency Plan addressing the relevant geographic area, please provide a website link to the plan so that Reclamation can access the plan during your application review.

D.2.2.8. Letters of Support and Commitment To demonstrate that the planning process will include a diverse range of stakeholders, please include letters from interested stakeholders supporting the development of a new Drought Contingency Plan or plan update. Letters should describe the stakeholder’s support and their specific interest in the planning process. If they are already committed to participate in the process, this should be identified in the letter.

To ensure your proposal is accurately reviewed, please attach all letters of support/ partnership letters as an appendix. Letters of support received after the application deadline for this NOFO will not be considered in the evaluation of the proposed project.

D.2.2.9. Official Resolution Include an official resolution adopted by the applicant’s board of directors or governing body, or, for State government entities, an official authorized to commit the applicant to the financial and legal obligations associated with receipt of a financial assistance award under this NOFO, verifying:

• The identity of the official with legal authority to enter into an agreement

• The board of directors, governing body, or appropriate official who has reviewed and supports the application submitted

• The capability of the applicant to provide the amount of funding and/or in- kind contributions specified in the funding plan

• That the applicant will work with Reclamation to meet established deadlines for entering into a grant or cooperative agreement

An official resolution meeting the requirements set forth above is mandatory. If the applicant is unable to submit the official resolution by the application deadline because of the timing of board meetings or other justifiable reasons, the official resolution may be submitted to bor-sha-fafoa@usbr.gov up to 30 days after the application deadline.

D.2.2.10. Cost-Share Reduction or Waiver (if applicable) Applicants requesting a reduction or waiver of the non-Federal cost share must state their request in their proposal and include the required information demonstrating support for the existence of an overwhelming Federal interest and financial hardship, as indicated in Attachment 1.

D.2.2.11. Overlap or Duplication of Effort Statement Applicants must provide a statement that addresses if there is any overlap between the proposed project and any other active or anticipated proposals or projects in terms of activities, costs, or commitment of key personnel. If any overlap exists, applicants must provide a description of the overlap in their application for review.

Applicants must also state if the proposal submitted for consideration under this program is or is not in any way duplicative of any proposal or project that has been or will be submitted for funding consideration to any other potential funding source—whether it be Federal or non-Federal. If such a circumstance exists, applicants must detail when the other duplicative proposal(s) were submitted, to whom (Agency name and Financial Assistance program), and when funding decisions are expected to be announced. If at any time a proposal is awarded funds that would be duplicative of the funding requested from Reclamation, applicants must notify the NOFO point of contact or the Program Coordinator immediately.

D.2.2.12. Conflict of Interest Disclosure Per the Financial Assistance Interior Regulation (FAIR), 2 CFR §1402.112, applicants must state in their application if any actual or potential conflict of interest exists at the time of submission.

Applicability This section intends to ensure that non-Federal entities and their employees take appropriate steps to avoid conflicts of interest in their responsibilities under or with respect to Federal financial assistance agreements.

In the procurement of supplies, equipment, construction, and services by recipients and by subrecipients, the conflict of interest provisions in 2 CFR 200.318 apply.

Notification Non-Federal entities, including applicants for financial assistance awards, must disclose in writing any conflict of interest to the Department’s awarding agency or pass-through entity in accordance with 2 CFR 200.112.

Recipients must establish internal controls that include, at a minimum, procedures to identify, disclose, and mitigate or eliminate identified conflicts of interest. The recipient is responsible for notifying the Financial Assistance Officer in writing of any conflicts of interest that may arise during the life of the award, including those that have been reported by subrecipients.

Restrictions on Lobbying Non-Federal entities are strictly prohibited from using funds under a grant or cooperative agreement for lobbying activities and must provide the required certifications and disclosures pursuant to 43 CFR part 18 and 31 U.S.C. 1352.

Review Procedures The Financial Assistance Officer will examine each conflict of interest disclosure on the basis of its particular facts and the nature of the proposed grant or cooperative agreement, and will determine whether a significant potential conflict exists and, if it does, develop an appropriate means for resolving it.

Enforcement Failure to resolve conflicts of interest in a manner that satisfies the government may be cause for termination of the award. Failure to make required disclosures may result in any of the remedies described in 2 CFR 200.338, Remedies for noncompliance, including suspension or debarment (see also 2 CFR part 180).

D.2.2.13. Uniform Audit Reporting Statement All U.S. states, local governments, federally recognized Indian Tribal governments, and non-profit organizations expending $750,000 in U.S. dollars or more in Federal award funds in the applicant’s fiscal year must submit a Single Audit report for that year through the Federal Audit Clearinghouse Internet Data Entry System in accordance with 2 CFR §200 subpart F. U.S. state, local government, federally recognized Indian Tribal government, and non-profit applicants must state if your organization was or was not required to submit a Single Audit report for the most recently closed fiscal year.