fy11-sor-foa-final.pdf

U.S. Department of the Interior Bureau of Reclamation Policy and Administration

Denver, Colorado March 2011

Funding Opportunity Announcement No. R11SF80356

WaterSMART:

System Optimization Review Grants for FY 2011

Mission Statements

The U.S. Department of the Interior protects America’s natural resources and heritage, honors our cultures and tribal communities, and supplies the energy to power our future.

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.

Synopsis iii

Synopsis Federal Agency Name: U.S. Department of the Interior, Bureau of Reclamation, Policy and Administration

Funding Opportunity Title:

WaterSMART System Optimization Review (SOR) Grants

Announcement Type: Funding Opportunity Announcement (FOA)

Funding Opportunity Number:

R11SF80356

Catalog of Federal Domestic Assistance (CFDA) Number:

15.507

Dates:

(See FOA Sec. IV.B)

Application due date:

April 27, 2011, 4:00 p.m. Mountain Daylight Time

Eligible Applicants:

(See FOA Sec. III.A)

States, Indian tribes, irrigation districts, water districts, or other organizations with water or power delivery authority located in the western United States or United States Territories as identified in the Reclamation Act of June 17, 1902, as amended

Recipient Cost Share:

(See FOA Sec. III.D)

50 percent or more of project costs

Federal Funding Amount:

(See FOA Sec. II.B)

Up to $300,000 per agreement

Estimated Number of Agreements to be Awarded:

(See FOA Sec. II.B)

4-8 (The number of agreements awarded will be contingent upon final FY 2011 appropriations.)

Total Amount of Funding Available for Award:

(See FOA Sec. II.A)

The President’s FY 2011 budget requests $27 million for WaterSMART Grants, including approximately $1 million planned to be available for award under this FOA. The amount of funding available for award under this WaterSMART Grant FOA will be determined once final FY 2011 appropriations have been made. This FOA will be cancelled if FY 2011 appropriations are insufficient to support new awards. Applications submitted under this FOA may also be considered if other funding becomes available in FY 2011 or subsequently. Please refer to <http://www.usbr.gov/WaterSMART/> for updated funding information.

* Submit materials with your application on April 27, 2011 ** Documents should be submitted with your application; however, please refer to the applicable Section of the FOA for extended submission dates.

Application Checklist v

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

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

Cover page Form SF 424, available at:

<http://www.grants.gov/agencies/aapprov ed_standard_forms.jsp#1> Page 16

Assurances Form SF 424B or SF 424D, as applicable, available at:

<http://apply07.grants.gov/apply/FormLinks?

family=15> Page 16

Title page Page 16 * Table of contents Page 16 * Technical proposal and evaluation criteria:

• Executive Summary

• Background Data

• SOR Overview

• SOR Evaluation Criteria

Pages 17-18

Pages 19-24

Environmental and Regulatory Compliance

Required permits and approvals

Page 25 *

Funding plan Page 25 *

Commitment letters Page 25 **

Official resolution Page 26 ** Project budget proposal:

• General requirements

• Budget format

• Budget narrative

• Budget form

Pages 27-31

Pages 27-29

Form SF 424A or SF 424C, as applicable, available at:

<http://www.grants.gov/agencies/aapprov ed_standard_forms.jsp#1> Page 30

Abbreviations and Acronyms vii

Abbreviations and Acronyms AOR Authorized Organization Representatives ARC Application Review Committee CCR Central Contractor Registration CE Categorical Exclusion CEC Categorical Exclusion Checklist CFDA Catalog of Federal Domestic Assistance DOI U.S. Department of the Interior DUNS Data Universal Number System EA Environmental Assessment E-Biz POC E-Business Point of Contact EIN Employer Identification Number EIS Environmental Impact Statement ESA Endangered Species Act ET Evapo-transpiration FAQ Frequently Asked Question FOA Funding Opportunity Announcement FONSI Finding of No Significant Impact FY fiscal year GO Grants Officer IRS Internal Revenue Service NEPA National Environmental Policy Act NHPA National Historic Preservation Act NOAA National Oceanic and Atmospheric Administration O&M Operation and maintenance OMB Office of Management and Budget ROD Record of Decision SCADA Supervisory Control and Data Acquisition SOR System Optimization Review TIN Taxpayer Identification Number USACE U.S. Army Corps of Engineers USFWS U.S. Fish and Wildlife Service WaterSMART Sustain and Manage America’s Resources for Tomorrow

Contents

Contents Page

Section I. Funding Opportunity Description I.A. WaterSMART Grants: System Optimization Review Grants I.B. Funding Opportunity Announcement Objective I.C. Program Authority I.D. Frequently Asked Questions

Section II. Award Information II.A. Total Project Funding II.B. Project Funding Limitations II.C. Reclamation Responsibilities II.D. Award Date

Section III. Eligibility Information III.A. Eligible Applicants III.B. Eligible SORs

III.B.1. Scope of the SOR III.B.2. Who Will Perform the SOR III.B.3. SOR Approach

III.C. Length of SOR III.D. Cost-Sharing Requirement

III.D.1. Cost Share Regulations III.D.2. In-Kind Contributions III.D.3. Pre-Award Costs III.D.4. Indirect Costs

III.E. Other Requirements III.E.1. Title to Improvements

[Public Law 111-11, Section 9504(a) (3) (D)] III.E.2. Operation and Maintenance Costs

[Public Law 111-11, Section 9504(a) (3) (E) (IV)] III.E.3. Liability

[Public Law 111-11, Section 9504(a) (3) (F)] In General Tort Claims Act

III.E.4. Central Contractor Registration Section IV. Application and Submission Information

IV.A. Address to Request Application Package IV.B. Application Submission Date and Time IV.C. Application Delivery Instructions IV.D. Instructions for Submission of SOR Application

IV.D.1. Applying for Funds Online at Grants.gov Assistance with Grants.gov Registering to Use Grants.gov (1-3 week process)

IV.D.2. Application Format and Length IV.D.3. Application Content

SF-424 Application Cover Page SF-424 Assurances

Funding Opportunity Announcement R11SF80356

Title Page Table of Contents Technical Proposal and Evaluation Criteria

Technical Proposal: Executive Summary Technical Proposal: Background Data Technical Proposal: General SOR Overview

Technical Proposal: SOR Evaluation Criteria Environmental and Regulatory Compliance Required Permits or Approvals Funding Plan and Letters of Commitment Official Resolution Budget Proposal

General Requirements Budget Proposal Format Budget Narrative Format Budget Form

Section V. Application Review Information V.A. Review and Selection Process

V.A.1. First-Level Screening V.A.2. Second-Level Evaluation (Technical Review) V.A.3. Third-Level Evaluation (Managerial Review)

V.B. Pre-Award Clearances and Approvals Section VI. Award Administration Information

VI.A. Award Notices VI.B. Award Document VI.C. Reporting Requirements and Distribution

VI.C.1. Financial Reports VI.C.2. Program Performance Reports

Section VII. Agency Contacts Section VIII. Other Information

VIII.A. Overview of Environmental Compliance Requirements VIII.A.1. Review within the Application Evaluation Process VIII.A.2. Review of Initially Recommended Projects VIII.A.3. Overview of Relevant Environmental Laws

National Environmental Policy Act National Historic Preservation Act Endangered Species Act

Section I. Funding Opportunity Description

Section I. Funding Opportunity Description

I.A. WaterSMART Grants: System Optimization Review Grants The Nation faces an increasing set of water resource challenges. Aging infrastructure, rapid population growth, depletion of groundwater resources, impaired water quality associated with particular land uses and land covers, water needed for human and environmental uses, and climate variability and change all play a role in determining the amount of fresh water available at any given place and time. Water shortage and water-use conflicts have become more commonplace in many areas of the United States, even in normal water years. As competition for water resources grows—for irrigation of crops, growing cities and communities, energy production, and the environment—the need for information and tools to aid water resource managers also grows. Water issues and challenges are increasing across the Nation but particularly in the West due to prolonged drought.

These water issues are exacerbating the challenges facing traditional water management approaches which by themselves no longer meet today’s needs. The U.S. Department of the Interior’s (DOI) WaterSMART (Sustain and Manage America’s Resources for Tomorrow) Program establishes a framework to provide Federal leadership and assistance on the efficient use of water, integrating water and energy policies to support the sustainable use of all natural resources, and coordinating the water conservation activities of various Department bureaus and offices. Through the program, DOI is working to achieve a sustainable water strategy to meet the Nation’s water needs. With WaterSMART System Optimization Review Grants, Reclamation provides cost-shared funding on a competitive basis for SORs that focus on improving water and energy efficiency throughout a system, district, or river basin.

For further information on the WaterSMART program, see <http://www.usbr.gov/ WaterSMART/>.

I.B. Funding Opportunity Announcement Objective The objective of this Funding Opportunity Announcement (FOA) is to invite States, Indian tribes, irrigation districts, water districts, and other organizations with water or power delivery authority to leverage their money and resources by cost-sharing with Reclamation to assess the potential for water management improvements and identify specific ways to implement those improvements.

System Operation Reviews (SOR) consist of:

(1) An assessment of the potential for water management improvements in a river basin, system, or district and

(2) A report identifying specific improvements to increase efficiency, including a plan of action for implementing the recommendations

The recommendations can include physical improvements, such as modernizing a water delivery system, changing operations to improve water and energy efficiency, or facilitating water transfers or water marketing. The SOR may focus on a watershed, river basin, district, delivery system, or a portion thereof.

Completing an SOR will help Indian tribes, districts, states, and other local entities with water delivery authority to identify potential projects and develop the supporting documentation necessary to apply for Water and Energy Efficiency Grants under the WaterSMART Program. Applicants who have already completed an SOR may receive additional points during the Water and Energy Efficiency Grant review process.

I.C. Program Authority This FOA is issued under the authority of Section 9504 of the Secure Water Act, Subtitle F of Title IX of the Omnibus Public Land Management Act of 2009, P.L.

111-11(42 USC 10364).

I.D. Frequently Asked Questions A list of Frequently Asked Questions (FAQ) about WaterSMART can be found on-line at <http://www.usbr.gov/WaterSMART>. The FAQs list will be updated periodically during the application period.

Section II. Award Information

Section II. Award Information

II.A. Total Project Funding The President’s FY 2011 budget request includes $27 million proposed for WaterSMART Grants (WaterSMART Grants include: Water and Energy Efficiency Grants; System Optimization Review Grants; Advanced Water Treatment Pilot and Demonstration Project Grants; Grants to Develop Climate Analysis Tools; and Bay-Delta Agricultural Water Conservation and Efficiency Projects). Approximately $1 million of that request is planned to be available for award of WaterSMART SOR Grants under this FOA. The amount of funding available for award for this WaterSMART Grant FOA will be determined once final FY 2011 appropriations have been made. This FOA will be cancelled if FY 2011 appropriations are insufficient to support new awards. Applications submitted under this FOA may also be considered if other funding becomes available in FY 2011 or subsequently. Please refer to <http://www.usbr.gov/WaterSMART/> for updated funding information.

II.B. Project Funding Limitations The Federal share (Reclamation’s share plus any other sources of Federal funding) of any one proposed SOR shall be up to 50 percent of the total SOR costs. Once FY 2011 appropriations are final, funding will be awarded accordingly. Reclamation may make awards exceeding that amount on a case-by-case basis. Reclamation reserves the right to make additional awards at a later date, depending on the availability of funding.

Multiple applications for funding may be submitted for consideration. However, no more than $1,000,000 in WaterSMART Grant funds will be awarded to any one applicant under all WaterSMART Grants issued in FY 2011.

II.C. Reclamation Responsibilities Project awards will be made through grants or cooperative agreements as applicable to each project. If a cooperative agreement is awarded, the recipient should expect Reclamation to have substantial involvement in the project.

Substantial involvement by Reclamation may include:

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

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

At the request of the recipient, Reclamation can provide technical assistance after award of the project. If you receive Reclamation’s assistance you must account for these costs in your budget. To discuss assistance available and these costs, contact your local Reclamation office, which can be identified at:

<http://www.usbr.gov/main/regions.html>.

II.D. Award Date Reclamation expects to contact potential award recipients and unsuccessful applicants in June 2011, or slightly later if necessary based on the enactment of FY 2011 appropriations. Within one to three months after that date, assistance agreements will be awarded to applicants that successfully pass all pre-award reviews and clearances.

Section III. Eligibility Information

Section III. Eligibility Information

III.A. Eligible Applicants Under P.L. 111-11, Section 9502, an eligible applicant is any State, Indian tribe, irrigation district, water district, or other organization with water or power delivery authority.

Applicants must also be located in the western United States or Territories as identified in the Reclamation Act of June 17, 1902, as amended and supplemented; specifically, Arizona, California, Colorado, Idaho, Kansas, Montana, Nebraska, Nevada, New Mexico, North Dakota, Oklahoma, Oregon, South Dakota, Texas, Utah, Washington, Wyoming, American Samoa, Guam, the Northern Mariana Islands, and the Virgin Islands.

Those not eligible include entities without water or power delivery authority, such as:

• Other State governmental entities

• Federal governmental entities

• Institutions of higher education

• Individuals

III.B. Eligible SORs Grants will be awarded to SOR projects that can produce a completed final report, including plans of action to secure water through water conservation, efficiency, and markets by September 30, 2013.

III.B.1. Scope of the SOR SORs are intended to focus on improving efficiency throughout a system, district, river basin, or a portion thereof—not on a single structure such as improving one headgate or lining one ditch. SORs are intended to take a broad look at system-wide efficiency and are not focused on single project-specific planning.

Accordingly, SOR funding may not be applied to the cost of design, engineering, or construction of a particular recommended project. Funding for the design, engineering, and construction of a project may be available under a separate FOA for WaterSMART Water and Energy Efficiency Grants.

The scope of each SOR will vary, depending on the stage of the planning process being addressed. Some applicants may wish to perform a comprehensive analysis that takes into consideration all options for improving water management and results in recommendations for the best approach. In districts, river basins, or portions thereof, which have already done comprehensive planning, applicants may wish to update an earlier plan by focusing the SOR on a particular aspect of system improvement, such as water marketing or automation, and determining the best approach to implement the improvements.

III.B.2. Who Will Perform the SOR In many cases, the actual team performing the SOR will not be known until after funding is received and an outside consultant is hired. In this case, please identify the process to hire the consultant and list any credentials or experience that will be required of the SOR development team.

If the SOR team is known, you should indicate in the proposal the person(s) likely to perform the SOR. The team should include at least one external party (i.e., who is not a member of the applicant’s staff). More complicated SORs may require a more experienced and diverse team, whereas smaller and less complicated SORs may require a less diverse and experienced SOR development team.

Diversity on the review team–including reviewers with different areas of expertise and experience, where appropriate–is encouraged.

At the request of the applicant, Reclamation can provide technical assistance. The type of assistance can vary depending on the local area office. If you are interested in receiving Reclamation’s technical assistance, you must account for this in your budget. To discuss the type of assistance available and the cost, contact your local Reclamation office which can be identified at <http://www.usbr.gov/main/about>.

III.B.3. SOR Approach The specific approach and methodology for performing the SOR will be proposed by the applicant and evaluated by Reclamation in the application selection and review process. However, at a minimum, the following steps must be incorporated:

• Gather information. Gather background information about the applicant’s water management system, including water supply and water demand, age and condition of the study area, ability to accurately measure and control water deliveries, energy consumption, etc. If additional data is needed, describe the collection methods and data to be collected. Discuss the estimated schedule, stages, and duration of the data gathering.

• Identify issues and priorities. Identify and prioritize water management issues you seek to address.

• Set goals. Establish goals relative to water conservation, water management, water marketing, energy efficiency, improving sustainable water supplies, and addressing endangered species needs.

• Identify and evaluate potential improvements. Identify and evaluate potential improvements or operational changes to optimize water management. Evaluate the relative costs and benefits of the recommended improvements.

o Ranking. Rank/prioritize the improvements based on estimates of the water management benefits associated with each improvement (including estimated water savings, improved water and energy efficiency, and other water management benefits).

o Improvements. Describe how the proposed improvements are likely to help reduce tension over water or improve sustainable water supplies;

consider entities outside the study area.

o Stakeholder involvement. Describe any involvement in the SOR or the recommended improvements by any stakeholders or partners.

o Environmental issues and impacts. Include a preliminary evaluation of environmental compliance issues that may be associated with potential projects, improvements or operational changes (e.g., compliance with National Environmental Policy Act [NEPA], Endangered Species Act [ESA], National Historic Preservation Act [NHPA], Clean Water Act and other Federal, tribal, State, or local environmental laws and regulations).

• Define a Plan of Action. Develop a plan of action for implementing the improvements identified, including recommending a sequence and a strategy for implementation, and identify sources of funding.

• Prepare an SOR Final Report. The SOR Final Report is the final product of the SOR analysis and must meet the following requirements.

The SOR Report shall summarize the analysis performed through the above steps, including these sections:

o Evaluation of Efficiency. An evaluation of the recipient’s current level of system efficiency with specific recommendations for projects to optimize efficiency.

o Costs and Benefits. A statement of the relative costs and benefits of the recommended improvements discussing each of the four elements is described above: “Identify and evaluate potential improvements” o Plan of Action. The plan of action implements the identified improvements, including recommending a sequence and a strategy for implementation, and identify sources of funding.

o Recommended Actions. Where the SOR is focused on specific types of improvements, such as automation or another type of modernization, the report recommendations will focus on suggesting a strategy for implementing that type of improvement. The improvements identified in the SOR Report may be:

physical (e.g., system automation, measurement, or canal lining or piping); or operational (e.g., modify district policies or procedures to encourage conservation, facilitate water transfers, use water markets or otherwise improve water management).

The recommended actions should be practical, affordable, and consistent with any State, basin-wide or local water plans, and laws, as well as your needs and objectives.

III.C. Length of SOR Proposed projects should be completed by September 30, 2013. Applications for SORs that will not be completed by September 30, 2013 will be considered if it can be demonstrated that there will be measurable accomplishments each year.

III.D. Cost-Sharing Requirement Applicants must be willing to cost share 50 percent or more of the total project costs. Cost sharing may be made through cash or in-kind contributions 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. Reclamation may approve an award prior to an applicant securing non-Federal cost-share funds if Reclamation determines that there is sufficient evidence and likelihood that the non-Federal funds will be available to the applicant by the start of the project. Funding commitment letters must be submitted in accordance with Section IV.D.3.

“Application Content” and must contain the information identified in that section.

III.D.1. Cost Share Regulations All cost-share contributions must meet the criteria established in the Office of Management and Budget’s (OMB) administrative and cost principles circulars that apply to the applicant. These circulars are available at <http://www.whitehouse.gov/omb/circulars>.

III.D.2. In-Kind Contributions In-kind contributions constitute the value of noncash contributions that benefit a federally assisted project. These contributions may be in the form of real property, equipment, supplies and other expendable property, as well as the value of goods and services directly benefiting and specifically identifiable to the project or program. The cost or value of 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 WaterSMART Grant applications.

III.D.3. Pre-Award Costs Project pre-award costs that have been incurred prior to the date of award but after the date of authorization and appropriation for this Program may be submitted for consideration as an allowable portion of the recipient's cost share for the project.

In no case will pre-award costs incurred prior to July 1, 2010, be considered for cost share purposes.

Reclamation will review the proposed pre-award costs to determine if they are allowable in accordance with the authorizing legislation and applicable cost principles. To be considered allowable, any pre-award costs proposed for consideration under the new awards must comply with all applicable requirements under this FOA.

III.D.4. Indirect Costs Indirect costs that will be incurred during the development of a SOR, which will not otherwise be recovered, may be included as part of the applicant’s cost share.

Indirect costs are those: (1) incurred for a common or joint purpose benefiting more than one cost objective, and (2) not readily assignable to any one cost objective. If the applicant proposes indirect costs in the budget, then the applicant must either supply a copy of a current federally-negotiated indirect cost rate agreement or obtain an agreement within one year of award. For further information on indirect costs, refer to the applicable OMB cost principles circular referenced above and available at <http://www.whitehouse.gov/omb/circulars>.

III.E. Other Requirements Applicants shall adhere to Federal, State, Territorial, and local laws, regulations, and codes, as applicable, and shall obtain all required approvals and permits.

Applicants shall also coordinate and obtain approvals from site owners and operators.

III.E.1. Title to Improvements [Public Law 111-11, Section 9504(a) (3) (D)] If the activities funded through an agreement awarded under this FOA result in an infrastructure improvement to a federally owned facility, the Federal government shall continue to hold title to the facility and improvements to the facility.

III.E.2. Operation and Maintenance Costs [Public Law 111-11, Section 9504(a) (3) (E) (IV)] The non-Federal share of the costs for operation and maintenance (O&M) of any infrastructure improvement funded through an agreement awarded under this FOA shall be 100 percent.

III.E.3. Liability [Public Law 111-11, Section 9504(a) (3) (F)]

In General Except as provided under chapter 171 of title 28, United States Code (commonly known as the “Federal Tort Claims Act”), the United States shall not be liable for monetary damages of any kind for any injury arising out of an act, omission, or occurrence that arises in relation to any facility created or improved through an agreement awarded under this FOA, the title of which is not held by the United States.

Tort Claims Act Nothing in this section increases the liability of the United States beyond that provided in chapter 171 of title 28, United States Code (commonly known as the “Federal Tort Claims Act”).

III.E.4. Central Contractor Registration All applicants must be registered in the Central Contractor Registration (CCR) prior to award of funds under this FOA. The CCR and instructions for registration are located at <http://www.bpn.gov/ccr>. All applicants must maintain an active CCR registration with current information at all times during which it has an active Federal award.

Section IV. Application and Submission Information

Section IV. Application and Submission Information

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

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

By mail: Bureau of Reclamation Acquisition Operations Group Attn: Michelle Maher Mail Code: 84-27810 P.O. Box 25007 Denver CO 80225

E-mail: mmaher@usbr.gov

Phone: 303-445-2025

IV.B. Application Submission Date and Time Application submission date deadline:

• April 27, 2011, 4:00 p.m. Mountain Daylight Time

Proposals received after the application deadline will not be considered unless it can be determined that the delay was caused by Federal government mishandling or by the Grants.gov application system.

Please note that any application submitted to Reclamation for WaterSMART Grant funding may be subjected to a Freedom of Information Act request (5 U.S.C. § 552, As Amended By Public Law No. 110-175), and as a result, may be made publicly available. In addition, successful applications may be made publicly available (following consultation with the applicant and redactions) and may be posted on the Reclamation website.

IV.C. Application Delivery Instructions Applications may be submitted electronically through <http://www.grants.gov> or hard copies may be submitted as follows:

By mail:

Acquisition Operations Group Attn: Michelle Maher Mail Code: 84-27810 P.O. Box 25007 Denver CO 80225

Express delivery/mail services:

Attn: Michelle Maher, Mail Code: 84-27810 Denver Federal Center, Bldg. 67 Rm. 152

6th Avenue and Kipling Street Denver CO 80225

Telephone: 303-445-2025

IV.D. Instructions for Submission of SOR Application Each applicant shall submit an application in accordance with the instructions contained in this section.

Applications Submitted by Mail

• Applicants shall submit an original and one copy of all application documents for hardcopy submissions. Each document should be clearly identified as the “ORIGINAL” or as a “COPY.”

• In addition to hard copy documents, please include a copy of our technical proposal on a CD in Microsoft Word format. Submission of a CD copy is not required but is encouraged.

• Please do not use “comb,” “spiral,” or adhesive methods to bind the documents.

• Hard copy applications may be submitted by mail or express methods to the addresses listed in Section IV.C, above.

• Materials arriving separately, other than letters of project support or resolutions, will not be included in the application package and may result in the application being rejected or not funded.

• Faxed and emailed copies of application documents will not be accepted.

• Do not include a cover letter or company literature/brochure with the application. All pertinent information must be included in the application package.

Applications Submitted Electronically

If the applicant chooses to submit an electronic application it must be submitted through Grants.gov at <http://www.grants.gov>.

• Please note that submission of an application electronically requires prior registration through Grants.gov, which may take 7-21 days. Please see registration instructions at <http://www.grants.gov/applicants/ get_registered.jsp>.

• Applicants have sometimes experienced significant delays when attempting to submit applications through Grants.gov. If you plan to submit your application through Grants.gov, you are encouraged to submit your application several days prior to the application deadline. If you are a properly registered Grants.gov applicant and encounter problems with the Grants.gov application submission process, you must contact the Grants.gov Help desk to obtain a “Case Number.” This Case Number will provide evidence of your attempt to submit an application prior to the submission deadline.

Regardless of the delivery method used, you must ensure that your proposal arrives by the date and time deadline stated in Section IV.B., above. Late applications will not be accepted unless it is determined that the delay was caused by Federal government mishandling or by a problem with the Grants.gov application system.

IV.D.1. Applying for Funds Online at Grants.gov Reclamation is participating in the Grants.gov initiative that provides the grant community with a single website to find and apply for grant funding opportunities. Reclamation encourages applicants to submit their applications for funding electronically through <http://www.grants.gov/applicants/ apply_for_grants.jsp>. Applicant resource documents and a full set of instructions for registering with Grants.gov and completing and submitting applications online are available at: <http://www.grants.gov/applicants/ resources.jsp>.

Assistance with Grants.gov If you need assistance with Grants.gov, the Contact Center is open 24 hours a day, 7 days a week. You may reach the Grants.gov Contact Center by email at <support@grants.gov> or by calling 1-800-518-4726.

Registering to Use Grants.gov (1-3 week process) The following checklist is provided to give you a summary of the steps that are required to register with Grants.gov. This Registration process must be completed prior to submitting an electronic application through Grants.gov.

Additionally, see Table 1, Step 2 below for completing the annual Central Contractor Registration (CCR) renewal process.

Note: (The following checklist information is available electronically at <http://www.grants.gov/assets/Organization_Steps_Complete_Registration.pdf>.)

The registration is a one-time process, which is required before representatives of an organization can submit grant application packages electronically through Grants.gov. The registration process can take three to five business days or one to three weeks—depending on your organization and if all steps are met in a timely manner. The checklist in Table 1 provides registration guidance for a company, academic or research institution, State, local or tribal government, not-for-profit, or other type of organization.

Table 1. Checklist for Registering Your Organization in Grants.gov

√ Step Actions to take Purpose Time required 1: Obtain

Data Universal Number System

(DUNS)

Number

Has my organization identified its DUNS number?

Ask the grant administrator, chief financial officer, or authorizing official of your organization to identify your DUNS number.

If your organization does not know its DUNS number or needs to register for one, visit Dun & Bradstreet at <http://fedgov.dnb.com/webform/display HomePage.do>

The Federal government has adopted the use of DUNS numbers to track how Federal grant money is allocated. DUNS numbers identify your organization.

Same Day. You will receive DUNS number information online.

√ Step Actions to take Purpose Time required 2: Register

With Central Contractor Registration

(CCR)

Has my organization registered with the CCR?

Ask the grant administrator, chief financial officer, or authorizing official of your organization if your organization has registered with the CCR.

If your organization is not registered, you can apply online by going to <http://www.ccr.gov>. CCR has developed a handbook < http://www.

bpn.gov/ccr/doc/UserAccount.pdf> to help you with the process. If after having registered in CCR, you experience any registration problems, you can get help by going to the Federal Service Desk <https://www.fsd.gov>.

When your organization registers with CCR, you must designate an E- Business Point of Contact (E-Biz POC).

This person will identify a special password called an "M-PIN."

This M-PIN gives the E-Biz POC authority to designate which staff member(s) from your organization are allowed to submit applications electronically through Grants.gov. Staff members from your organization designated to submit applications are called Authorized Organization Representatives (AOR).

Registering with the CCR is required for organizations to use Grants.gov.

If your organization already has an Employer Identification Number (EIN) or Taxpayer Identification Number (TIN), then you should allow one – three business days to complete the entire CCR registration. The EIN and TIN will come from the Internal Revenue Service (IRS)

If your organization does not have an EIN or TIN, then you should allow two weeks for obtaining the information from the IRS when requesting the EIN or TIN via phone or Internet. The additional number of days needed is a result of security information that needs to be mailed to the organization.

*Note: Your organization needs to renew your CCR registration once a year. You will not be able to move on to Step 3 until you have renewed your CCR registration. This renewal may take up to 5 business days.

3: Username and Password

Have the AORs who officially submit applications on behalf of your organization completed their profile with Grants.gov to create their username and password?

To create a username and password, AORs must complete their profile on Grants.gov. AORs will need to know the DUNS number of the organization for which they will be submitting applications to complete the process.

After your organization registers with the CCR, AORs must wait one business day before they can complete a profile and create their usernames and passwords on Grants.gov.

An AOR username and password serves as an "electronic signature" when submitting a Grants.gov application.

Same Day. After the AOR has completed their profile they will be prompted to create a username and password that will allow the user to login and check their approval status immediately.

√ Step Actions to take Purpose Time required

4: AOR

Authorization Has E-Biz POC approved AORs to submit applications on behalf of the organization?

When an AOR registers with Grants.gov to submit applications on behalf of an organization, that organization's E-Biz POC will receive an email notification.

The email the AOR submitted in the profile will be the email used when sending the automatic notification from Grants.gov to the E-Biz POC with the AOR copied on the correspondence.

The E-Biz POC must then login to Grants.gov (using the organization’s DUNS number for the username and the "M-PIN" password (obtained in Step

2) and approve the AOR, thereby giving him or her permission to submit applications.

When an E-Biz POC approves an AOR, Grants.gov will send the AOR a confirmation email.

Only the E-Biz POC can approve AORs. This allows the organization to authorize specific staff members or consultants/grant writers to submit grants. Only those who have been authorized by the E-Biz POC can submit applications on behalf of the organization.

This depends on how long it takes the E-Biz POC to login and approve the AOR; once the approval is completed the AOR can immediately submit an application.

Step 5: Track

AOR

Status

What is your AOR status?

AORs can also login to track their AOR status using their username and password (obtained in Step 3) to check if they have been approved by the E-Biz

POC.

To verify that the organization’s E- Biz POC has approved the

AOR.

Logging in to check your AOR status is instantaneous. The approval process to become an AOR depends on how long it takes the E-Biz POC to login and approve the AOR.

NOTE: Some applicants have experienced difficulties when attempting to submit their applications electronically through Grants.gov. If you encounter problems with the Grants.gov application submission process, you must contact the Grants.gov Help Desk (1-800-518-4726 or support@grants.gov) to obtain a “Case Number.” This will provide evidence of your attempt to submit an application prior to the submission deadline.

IV.D.2. Application Format and Length The total application package shall be no more than 75 consecutively numbered pages and shall be single spaced. If an application exceeds 75 pages, only the first 75 pages will be evaluated. The font shall be at least 12 points in size and easily readable. Page size shall be 8 ½” x 11,” except for an occasional larger size for charts, maps, or drawings. The Technical Proposal and Evaluation Criteria section shall be limited to a maximum of 45 (forty-five) pages.

It is requested that all application sent via mail also include a digital version of the technical proposal on a CD in Microsoft Word format.

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

IV.D.3. Application Content The application must include the following elements in order to be considered complete:

• SF-424 Core For –Application cover page

• SF-424 B Form, as applicable to the project

• Title page

• Table of contents

• Technical proposal and evaluation criteria (limited to 45 pages) o Executive summary o Background data o Technical project description o Evaluation criteria

• Post-project benefits (performance measures)

• Potential environmental impacts

• Required permits and approvals

• Funding plan and letters of commitment

• Letters of project support (do not submit separately)

• Official resolution

• Project budget application o General Requirements o Budget Proposal Format o Budget Narrative Format o Budget Form

SF-424, SF-424A, SF-424B, and SF-424C forms may be obtained at <http://apply07.grants.gov/apply/FormLinks?family=15>.

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

SF-424 Assurances A SF-424B – Assurances – Non-Construction Programs form, signed by a person legally authorized to commit the applicant to performance of the project shall be included. Questions regarding whether to use SF-424B or SF-424D should be referred to Michelle Maher at: <mmaher@usbr.gov>. Failure to submit a properly signed SF-424B may result in the elimination of the application from further consideration.

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, e-mail address, telephone, and facsimile numbers of the project manager.

Table of Contents List all major sections of the technical proposal in the table of contents.

Technical Proposal and Evaluation Criteria The technical proposal (45 pages maximum) includes: (1) the Executive Summary, (2) Background Data, (3) General SOR Overview, and (4) SOR Evaluation Criteria. To ensure accurate and complete scoring of your application, your proposal should address each subcriterion in the order presented here. Where applicable, the point value is indicated.

Technical Proposal: Executive Summary.

The executive summary should include:

• Discussion of the study area and how the SOR will be performed.

• Identification of the approach for completing the SOR and the issues that the applicant plans to address in the SOR.

• Identification of the current transport losses; water marketed; the average annual water supply; average annual demand; projected future demand; and average annual shortage of the study area, as applicable.

This information should be provided in tabular or bullet format.

Technical Proposal: Background Data.

Provide a map of the area, showing the geographic location of the system to be analyzed as part of the proposed SOR. State (in acre feet) the amount of water involved and describe the source of water and current water uses (e.g., agricultural district, municipal district, drainage basin) and current and projected water demand. Include the location of the area (state, county, and direction from nearest town) to be addressed.

As applicable, provide a description of the delivery system involved. For agricultural systems, please include the miles of canals, miles of laterals, existing irrigation improvements (e.g., type, miles, or acres), estimated canal and lateral seepage losses and on-farm efficiency, to the extent known. For municipal systems, please include the number of connections, current levels of efficiency, to the extent known, and any other relevant information describing the system.

If the application includes renewable energy or energy efficiency elements, describe existing energy sources and current energy uses. If applicable, describe any ESA issues that exist in the geographic area.

If the above background information is included in a current planning or engineering document (such as a water conservation plan for example), the applicant may reference that document and attach the relevant pages of the plan or document as an appendix.

Identify any past working relationships with Reclamation, including a brief summary of any previous grants. This should include the date(s), description of relationship with Reclamation, and a description of the previous grant project(s).

Technical Proposal: General SOR Overview Provide an overview of the goals and approach of the SOR. This overview shall have sufficient detail to permit a comprehensive evaluation of the proposal.

• Goals. Discuss the preliminary goals and objectives of the proposed SOR.

List known water supply or water management issues that you anticipate evaluating in the SOR.

• Approach. Describe, in sufficient detail to permit a comprehensive evaluation of the proposal, your planned approach to completing the SOR, including the following steps:

o Information gathering.

o Identifying issues and priorities.

o Setting goals.

o Identifying and evaluating potential improvements.

o Creating a plan of action for implementing the improvements identified. NOTE: If this step is not clearly identified, the application will be eliminated from consideration.

o Developing an SOR Report.

• Discussion. The discussion should include:

o The method to be used to gather information about your system.

o How water management issues will be identified and prioritized.

o The method to be used to identify potential policy, operational, or physical improvements capable of improving water conservation, increasing water use efficiency, and/or enhancing water management.

o The expected members of the SOR development team and the qualifications and experience that would be necessary. If the team is unknown, describe the process to hire the members and the qualifications that will be used to select the members.

• Scope. Describe, the planned scope of the SOR (i.e., both the geographic scope—basin, district or a portion thereof—and the range of issues being addressed). If the geographic scope is addressed under the background information, reference that section of the application and provide support for the proposed scope.

• Tasks and Schedule. Describe the major tasks to be addressed in the SOR and an estimated schedule demonstrating the stages and duration of each part of the SOR.

Technical Proposal: SOR Evaluation Criteria.

The Evaluation Criteria portion of your application should thoroughly address each of the following criterion and subcriterion in the order presented to assist in the complete and accurate evaluation of your proposal. The SOR Evaluation Criteria comprise 100 points of the total evaluation weight. (Note: it is suggested that applicants copy and paste the below criteria and subcriteria into their applications to ensure that all necessary information is adequately addressed).

Please note that proposals may be prioritized to ensure that the proposals address the goals of the WaterSMART program.

Evaluation Criterion A: Water Conservation (31 points) Up to 31 points may be awarded for a proposed SOR that will address potential for water conservation and efficiency improvements.

Subcriterion No. A1—Water Conservation

Up to 25 points may be awarded for a proposed SOR that will address the potential for water conservation and efficiency improvements in a system, district, or portion of river basin.

Include the following information:

1) Describe how the SOR will assess the potential for water conservation

2) Identify the total average annual water supply in acre-feet

3) Describe how the SOR will address water conservation issues, including, whether you will:

• Develop a water budget

• Assess drainage and tail water conditions or any other factors related to improving conservation

• Identify water conservation tools that will be considered (e.g., piping or lining canals)

4) Describe how the proposed SOR will address the potential to improve water management, including an estimate the amount of water that you believe could be better managed in acre feet and as a percent of the average annual supply

5) Discuss any known water management-related issues that will be investigated in the proposed SOR, including for example, whether you will:

• Examine water measurement capabilities

• Evaluate the schedule of deliveries

• Identify water management tools that will be considered (e.g., Supervisory Control and Data Acquisition [SCADA], gate automations, or evapo-transpiration [ET] controllers)

Subcriterion No. A2—SOR Scope

Up to 6 points may be awarded for a proposed SOR that will address the applicant’s entire system and will include collaboration with other entities.

Describe the geographical scope of the proposed SOR. Specifically, address whether the proposed SOR will examine the applicant’s entire system, will involve more than one irrigation district, or if the SOR will reach beyond the applicant’s system (e.g., examine a portion of a river basin or a watershed).

Please, tell us if your SOR will involve multiple entities.

Evaluation Criterion B: Energy-Water Nexus (20 points) Up to 16 points will be awarded based on the extent to which the proposed SOR will address the potential for increased use of renewable energy in the management and delivery of water or other potential energy conservation improvements.

Subcriterion No. B1—Potential for Renewable Energy Components

Up to 10 points may be awarded for proposed SORs that will address the potential for renewable energy components (facilities that enable the use of renewable energy, e.g., small-scale hydroelectric units, solar-electric facilities, wind energy systems).

Please include:

1) How the SOR will address renewable energy systems in your operation

2) Whether the SOR will address steps necessary to proceed with construction or installation of renewable energy components, including discussion of any necessary permits

3) Extent to which the SOR will result in estimates of the quantity of energy to be generated and the expected energy efficiency of a renewable energy system

4) Whether and how the SOR will address expected environmental benefits of a renewable energy system

5) Whether the SOR will address expected reduction in the use of energy currently supplied…