FY18 WEEG FOA_FINAL_508_with Appendix_040618.pdf

Funding Opportunity Announcement No. BOR-DO-18-F006

WaterSMART Grants:

Water and Energy Efficiency Grants for Fiscal Year 2018

U.S. Department of the Interior Bureau of Reclamation Policy and Administration Denver, Colorado March 2018

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.

Cover photo: Fresno Irrigation District’s Gould Canal-Friant-Kern Canal Intertie Project in California, which was a FY 2016 Water and Energy Efficiency Grant project. Photo Courtesy of Fresno Irrigation District.

Synopsis

Synopsis Federal Agency Name: Department of the Interior, Bureau of Reclamation, Policy and

Administration Funding Opportunity Title: WaterSMART: Water and Energy Efficiency Grants for fiscal year

(FY) 2018

Announcement Type: Funding Opportunity Announcement (FOA) Funding Opportunity Number:

BOR-DO-18-F006

Catalog of Federal Domestic Assistance (CFDA) Number:

15.507

Dates:

(See FOA Sec. D.4)

Application due date:

Thursday, May 10, 2018 4:00 p.m. Mountain Daylight Time

Eligible Applicants:

(See FOA Sec. C.1)

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. C.2)

50 percent or more of project costs

Federal Funding Amount:

(See FOA Sec. B.1)

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

Funding Group II: Up to $1,000,000 per agreement Estimated Number of Agreements to be Awarded:

(See FOA Sec. B.1)

The President’s FY 2018 budget includes a request for $23.4 million for WaterSMART Grants, including approximately $16 million for this FOA. Reclamation will determine the amount of funding available for award for this WaterSMART Grants FOA once final FY 2018 appropriations have been made. Please note that approximately $1.7 million of FY 2018 WaterSMART Grants funding, if available, will be allocated for additional phases of projects selected through previous FOAs. Any awards are subject to a determination by Reclamation that FY 2018 appropriations are available.

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Application Checklist

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

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

Mandatory Federal Forms:

Application for Federal Financial Assistance

Budget Information

Assurances

Disclosure of Lobbying Activities

See Sec. D.2.2.1 SF-424, SF-424A, SF-424B, SF-424C, SF-424D 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 15 *

Table of contents See Sec. D.2.2.3 Page 15 *

Technical proposal:

Executive summary

Background data

Project description

Evaluation criteria

See Sec. D.2.2.4

See Sec. D.2.2.4

See Sec. D.2.2.4

See Sec. E.1

Project Budget:

Funding plan

Budget proposal

Budget narrative

See Sec. D.2.2.5

See Sec. D.2.2.5

See Sec. D.2.2.5

Environmental and cultural resources compliance

See Sec. D.2.2.6 Page 24 *

Required permits or approvals

See Sec. D.2.2.6 Page 25 *

Letters of support See Sec. D.2.2.8 Page 25 *

Official Resolutions See Sec. D.2.2.9 Page 26 **

Unique Entity Identifier and System for Award Management

See Sec. D.3 Page 26 ***

* Submit materials with your application.

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

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

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

Acronyms and Abbreviations

Acronyms and Abbreviations

ASAP Automated Standard Application for Payments ARC Application Review Committee CE Categorical Exclusion CEC Categorical Exclusion Checklist CFDA Catalog of Federal Domestic Assistance CFR Code of Federal Regulations CWA Clean Water Act CWMP Cooperative Watershed Management Program Department U.S. Department of the Interior DUNS Data Universal Number System EA Environmental Assessment EIS Environmental Impact Statement ESA Endangered Species Act FAPIIS Federal Award Performance Integrity Information System FAQ Frequently Asked Question FERC Federal Energy Regulatory Commission FOA Funding Opportunity Announcement FONSI Finding of No Significant Impact FY fiscal year GO Grants Officer LOPP Lease of Power Privilege NEPA National Environmental Policy Act NHPA National Historic Preservation Act NOAA National Oceanic and Atmospheric Administration NRCS Natural Resources Conservation Service OM&R operations, maintenance, and replacement P.L. Public Law Reclamation Bureau of Reclamation ROD Record of Decision SAM System of Award Management U.S.C. United States Code USFWS U.S. Fish and Wildlife Service WaterSMART Sustain and Manage America’s Resources for Tomorrow v

Contents

Contents Page

Section A. Funding Opportunity Description A.1. Program Information A.2. Objective of this Funding Opportunity Announcement A.3. Statutory Authority A.4. Other Related Funding Opportunities A.5. Collaboration with the Natural Resources Conservation Service

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

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

Section D. Application and Submission Information D.1. Address to Request Application Package D.2. Content and Form of Application Submission D.3. Unique Entity Identifier and System for Award Management D.4. Submission Date and Time D.5. Intergovernmental Review D.6. Funding Restrictions: Pre-award Costs D.7. Automated Standard Application for Payments Registration

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

Section F. Federal Award Administration Information F.1. Federal Award Notices F.2. Administrative and National Policy Requirements F.3. Reporting—Requirements and Distribution F.4. Releasing Applications

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

Section H. Other Information H.1. National Environmental Policy Act H.2. National Historic Preservation Act H.3. Endangered Species Act vii

Section A: Funding Opportunity Description

Section A. Funding Opportunity Description

A.1. Program Information 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 and attention to local water conflicts. Working together with our stakeholders, WaterSMART provides support for the Department of the Interior’s priorities, including the following:

• Creating a conservation stewardship legacy

• Utilizing our natural resources

• Restoring trust with local communities

• Striking a regulatory balance

• Modernizing our infrastructure

Through Water and Energy Efficiency Grants, Reclamation provides assistance to states, tribes, irrigation districts, water districts, and other entities with water or power delivery authority to undertake projects that result in quantifiable and sustained water savings and support broader water reliability benefits. Water and Energy Efficiency Grants are a component of Reclamation’s WaterSMART Grants Program, which also includes Water Marketing Strategy Grants and Small- Scale Water Efficiency Projects. For further information on the WaterSMART Grants Program, please see www.usbr.gov/watersmart/grants.html.

This Water and Energy Efficiency Grants funding opportunity announcement (FOA) provides funding for projects that result in quantifiable water savings and support broader water reliability benefits.

These projects 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.

A list of Frequently Asked Questions (FAQ) about WaterSMART and this FOA can be found online at www.usbr.gov/WaterSMART/weeg/faq.html. The list of FAQs will be updated periodically during the application period. For further information on WaterSMART Grants, please see www.usbr.gov/watersmart /grants.html. For further information on the WaterSMART Program, please see www.usbr.gov/WaterSMART.

http://www.usbr.gov/watersmart/grants.html http://www.usbr.gov/watersmart/grants.html http://www.usbr.gov/watersmart/grants.html www.usbr.gov/WaterSMART www.usbr.gov/WaterSMART/weeg/faq.html

A.2. Objective of this Funding Opportunity Announcement

The objective of this 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 on projects that seek to conserve and use water more efficiently; increase the production of hydropower; mitigate conflict risk in areas at a high risk of future water conflict;

enable farmers to make additional on-farm improvements in the future, including improvements that may be eligible for Natural Resources Conservation Service (NRCS) funding; and accomplish other benefits that contribute to water supply reliability in the western United States.

A.3. Statutory Authority This FOA is issued under the authority of Section 9504(a) of the Secure Water Act, Subtitle F of Title IX of the Omnibus Public Land Management Act of 2009, Public Law 111-11 (42 United States Code 10364).

A.4. Other Related Funding Opportunities Through WaterSMART Grants, Reclamation also provides other funding opportunities. The Small-Scale Water Efficiency Projects provides funding for small-scale water management projects (up to $75,000 in Federal funding for each project) that have been identified through previous planning efforts. Reclamation has developed a streamlined selection and review process to reflect the small-scale nature of these projects.

In addition, Water Marketing Strategy Grants provide meaningful support for entities exploring actions that can be taken to develop or facilitate water marketing. Under this funding opportunity applicants will be invited to conduct planning activities to develop a water marketing strategy to establish or expand water markets or water marketing transactions.

Reclamation provides funding for water management projects through several other programs under WaterSMART. Through the Drought Response Program, Reclamation provides funding to help build resilience to drought. Through Drought Contingency Planning, Reclamation supports the development of drought contingency plans with participation from a diverse set of stakeholders.

Reclamation also provides funding for Drought Resiliency Projects that increase water supply flexibility and improve water management to build long term resilience to drought and are supported by an existing drought contingency plan.

In addition, through the Cooperative Watershed Management Program (CWMP), Reclamation provides funding to watershed groups to encourage

Section A: Funding Opportunity Description diverse stakeholders to form local solutions to address their watershed management needs. Reclamation provides funding through Phase I of the CWMP for watershed group development, restoration planning, and watershed management project design and through Phase II for the implementation of watershed management projects.

For information on the timing for these FOAs, please visit the WaterSMART Program website: www.usbr.gov/watersmart/index.html.

A.5. Collaboration with the Natural Resources Conservation Service

Reclamation and the U.S. Department of Agriculture’s Natural Resources Conservation Service (NRCS) are collaborating to align program resources in areas of the Western United States where our mission areas overlap (17 Western States), to improve the impact of the agencies’ respective drought resiliency and water efficiency investments. In 2011, NRCS and Reclamation began efforts to coordinate water conservation activities in California. Beginning in 2012, Reclamation made changes to WaterSMART Water and Energy Efficiency Grants to support similar collaboration on a West-wide basis. Applicants under the WaterSMART Grants program receive additional consideration in the evaluation process for delivery system improvements that complement on-farm improvements supported by NRCS such as through their Environmental Quality Incentives Program (EQIP). Contingent on available appropriations, NRCS provides dedicated EQIP funding to support on-farm water efficiency improvements by producers served by water delivery infrastructure improved through a WaterSMART Grant. Also in FY 2017, Reclamation and NRCS have begun working together to expand this partnership to include collaboration on a broader range of activities, including projects funded through this FOA.

Please note that on-farm improvements themselves are not eligible activities for funding under this FOA. NRCS will have a separate application process for the on-farm components of selected projects.

Under this funding opportunity announcement, consideration will be given under Section E.1.2. Evaluation Criterion E—Complementing Future On-Farm Irrigation Improvements for proposals that describe on-farm efficiency work that is currently being completed or is anticipated to be completed in collaboration with NRCS in the area (e.g., with a direct connection to the district’s water supply). Please contact your state NRCS office for more information regarding NRCS assistance. You can find the contact information for your state NRCS office on the USDA’s website, www.nrcs.usda.gov/wps/portal/nrcs/main/national/ contact/states/.

http://www.usbr.gov/watersmart/index.html http://www.nrcs.usda.gov/wps/portal/nrcs/main/national/contact/states/

Section B. Award Information

Section B. Award Information

B.1. Total Project Funding The President’s FY 2018 budget includes a request for $23.4 million for WaterSMART Grants, including approximately $16 million to be made available through this funding opportunity. Reclamation will determine the final amount of funding available for award for this WaterSMART Grants FOA once final FY 2018 appropriations have been made. Please note that approximately $1.7 million of FY 2018 WaterSMART Grants funding, if available, will be allocated for additional phases of projects selected through previous FOAs. Any awards are subject to a determination by Reclamation that FY 2018 appropriations are available and that awards can be made consistent with all program requirements. Applications submitted under this FOA may also be considered if other funding becomes available in FY 2018 or subsequently. Updated funding information is available at:

www.usbr.gov/WaterSMART/weeg.

B.2. Project Funding Limitations Multiple applications for funding may be submitted for consideration (for example, an applicant may submit a proposal for funding under Funding Group I and a separate proposal under Funding Group II). However, no more than $1,000,000 will be awarded to any one applicant under this FOA.

The Federal share (Reclamation’s share in addition to any other sources of Federal funding) of any one proposed project shall not exceed 50 percent of the total project 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.

Applicants are invited to submit proposals under the following two funding groups.

B.2.1. Funding Group I

Up to $300,000 in Federal funds provided through this FOA will be available for smaller, on-the-ground projects.

• In general, projects funded under Funding Group I should be completed within 2 years of award (see Section C.3.3. Length of Projects for additional information).

• It is expected that funds will be awarded in the fall of 2018, contingent on appropriations.

http://www.usbr.gov/WaterSMART/weeg

• It is expected that more awards will be made for projects in Funding Group I than Funding Group II (described below).

B.2.2. Funding Group II

Up to $1,000,000 in Federal funds provided through this FOA will be available for larger, phased on-the-ground projects that may take up to 3 years to complete.

• Projects selected under Funding Group II will be funded on an annual basis, for a period of up to 3 years, with a maximum of $1,000,000 available for the entire project.

• Each phase of the project is expected to be substantially completed within one year of award. Recipients must demonstrate sufficient progress to receive subsequent funding for remaining phases of the project.

• Federal funding under this FOA for the first year of phased projects is expected to be awarded in the fall of 2018. Funding for the remaining project years will be made available contingent on subsequent congressional appropriations. (Note: recipients will not be asked to reapply to receive FY 2019 and FY 2020 funding).

• It is expected that only a small number of awards will be made for projects in Funding Group II.

B.3. Assistance Instrument 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 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 available assistance and these costs, contact the program coordinator identified in Section G. Agency Contacts.

Section C: Eligibility Information

Section C. Eligibility Information

C.1. Eligible Applicants Under P.L. 111-11, Section 9502, an eligible applicant is a 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, but are not limited to, the following entities:

• Federal Governmental entities

• Individuals

• Institutes of higher education

• 501(c)4 organizations

• 501(c)6 organizations

C.2. Cost Sharing Requirements Applicants must be capable of cost sharing 50 percent or more of the total project costs. 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 Project Budget and Section D.2.2.8 Official Resolution for more information regarding the documentation required to verify commitments to meet cost sharing requirements.

C.2.1. Cost Share Regulations

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

C.2.2. Donations and In-Kind Contributions

Donations and 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 http://www.ecfr.gov/ value of goods and services directly benefiting and specifically identifiable to the project or program. The cost or value of donations and in-kind contributions that have been or will be relied on to satisfy a cost-sharing or matching requirement for another Federal financial assistance agreement, a Federal procurement contract, or any other award of Federal funds may not be relied on to satisfy the cost-share requirement for an award under this FOA. 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 for regulations regarding the valuation of donations and in-kind contributions, available at www.ecfr.gov.

C.3. Eligible Projects C.3.1. Eligible Projects

Water Conservation and Hydropower projects eligible for funding under this FOA are described below. Applications may include any one, or a combination, of the types of projects described. In general, if you are seeking funding for multiple projects (e.g., a piping project and a hydropower project) and the projects are interrelated or closely related, they should be combined in one application.

Applicants may submit multiple project proposals; however, no more than $1,000,000 will be awarded to any one applicant under this FOA.

Note: During Third-Level Evaluation (see Section E.2.4. Managerial Review) Reclamation will review the results of the Second-Level Evaluation (see Section E.2.2 Application Review Committee).

C.3.1.1. Water Conservation Projects Projects that result in quantifiable and sustained water savings or improved water management (please note that an agreement will not be awarded for an improvement to conserve irrigation water unless the applicant agrees to the terms of Section 9504(a)(3)(B) of Public Law 111-11. See Section F.2.3. Requirements for Agricultural Operations under Public Law 111-11, Section 9504(a)(3)(D) of this FOA for further information). Projects include, but are not limited to:

• Canal Lining/Piping: Projects that line or pipe canals, resulting in conserved water. Projects include, but are not limited to:

o Installing new proven lining materials or technology o Converting open canals to pipeline o Constructing conveyance improvements, turnouts, or pipelines

• Municipal Metering: Projects that install meters, resulting in measureable water savings. Projects include, but are not limited to:

o Installing water service meters o Installing distribution systems meters associated with production and/or leakage quantification

• Irrigation Flow Measurement: Projects that improve measurement accuracy and result in reduced spills and over-deliveries to irrigators.

Projects include, but are not limited to:

o Installing weirs, flumes, ramps, etc. in open channels o Installing meters in pressurized pipes

• Supervisory Control and Data Acquisition and Automation: Projects that install SCADA and/or automation components that provide water savings when irrigation delivery system operational efficiency is improved to reduce spills, over-deliveries, and seepage. Projects include, but are not limited to:

o Installing SCADA components that allow for remote monitoring of irrigation delivery system conditions (flow rates, water elevations, controls devices openings, etc.)

o Installing automation components that allow for remote operation of delivery system control features (gates, valves, turnouts, etc.)

• Irrigation Measures: Projects that provide water savings by reducing outdoor water usage. These measures include turf removal, Smart irrigation controllers (weather or soil-moisture based) and high-efficiency nozzles (sprinkler heads). These measures are typically promoted by water entities through rebates or direct-install programs. Projects include, but are not limited to:

o Removing turf o Installing Smart irrigation controllers o Installing high-efficiency nozzles (e.g., sprinkler heads)

C.3.1.2. Hydropower Projects

Projects that increase the use of hydropower in managing and delivering water. Projects include, but are not limited to, those discussed in the following subsections.

Implementing Hydropower Projects Related to Water Management and Delivery

Hydropower projects related to water management and delivery include, but are not limited to:

• Installing a small-scale hydroelectric facility that enables use of renewable energy sources (e.g., installing low-head hydrokinetic power generation units in a water system)

Proposals including a hydropower component typically require additional permitting not needed for other water management improvements (e.g., canal lining). In evaluating these proposals, Reclamation may consider the applicant’s progress in obtaining a Federal Energy Regulatory Commission (FERC) license or a Reclamation Lease of Power Privilege (LOPP), depending on which is applicable. Applicants for a project including a hydropower component are asked to include documentation of steps taken to date for obtaining a FERC license or a

LOPP.

Note that improvements to Federal facilities that are implemented through any project awarded funding through this FOA must comply with additional requirements. The Federal government will continue to hold title to the Federal facility and any improvement that is integral to the existing operations of that facility. Please see Section F.2.4. Title to Improvements Under Public Law 111- 11, Section 9504(a)(3)(D).

Applicants proposing hydropower development may wish to contact the program coordinator listed in Section G, Agency Contacts, prior to the application deadline to discuss the requirements listed above.

Note: other types of renewable energy projects, including large-scale solar, wind, and geothermal projects, are not eligible under this FOA

C.3.2. Ineligible Projects

Any project not specifically described in Section 3.1. Eligible Projects is not eligible under this FOA. The following subsections further explain ineligible projects.

C.3.2.1. Operations, Maintenance, and Replacement Projects that are considered normal operations, maintenance and replacement (OM&R) are not eligible. OM&R is described as system improvements that replace or repair existing infrastructure or function without providing increased efficiency or effectiveness of water distribution over the expected life of the improvement. Examples of ineligible OM&R projects include:

• Replacing malfunctioning components of an existing facility with the same components

• Improving an existing facility to operate as originally designed

• Performing an activity on a recurring basis, even if that period is extended (e.g., 10-year interval)

• Sealing expansion joints of concrete lining because the original sealer or the water stops have failed

• Replacing broken meters with new meters of the same type

• Replacing leaky pipes with new pipes of the same type

Applicants that have questions regarding OM&R are encouraged to contact the program coordinator listed in Section G. Agency Contacts, prior to the application deadline for further information.

C.3.2.2. Water Reclamation, Recycling, and Reuse Water reclamation, reuse, and desalination projects are not eligible for funding under this FOA. Entities seeking funding for these types of projects should consider Reclamation’s Title XVI Water Reclamation and Reuse Program and Drought Response Program. If you have questions about a water reclamation, reuse, or desalination project please contact Amanda Erath at 303-445-2766 or aerath@usbr.gov.

C.3.2.3. Groundwater Recharge Groundwater recharge projects are not eligible. Applicants proposing such projects should consider applying for funding under the WaterSMART Drought Resiliency Projects FOA. See the WaterSMART Drought Response Program webpage, www.usbr.gov/drought, for more information.

C.3.2.4. Water Purchases A project that proposes using Federal funding primarily for the purchase of water is not eligible under this FOA.

C.3.2.5. Building Construction A project that proposes to construct a building is not eligible for Federal funding under this FOA (e.g., a building to house administrative staff or to promote public awareness of water conservation).

C.3.2.6. Pilot Projects A project that proposes to conduct a pilot study to evaluate technical capability, economic feasibility, or viability for full-scale implementation, or to test an mailto:aerath@usbr.gov http://www.usbr.gov/drought unproven material or technology is not eligible for Federal funding under this

FOA.

C.3.2.7. High-Efficiency Indoor Appliance and Fixture Installation A project that includes the installation of high-efficiency indoor appliances and fixtures, including toilets and urinals, whether through rebates, direct install, or by other means, is not eligible for funding under this FOA.

C.3.2.8. Other Types of Renewable Energy Projects Renewable energy projects other than hydropower projects, including large-scale solar, wind, and geothermal projects, are not eligible under this FOA

C.3.3. Length of Projects

In general, Funding Group I projects should be completed within two years of award. Funding Group II projects should be completed within three years of award and each year are expected to complete the work planned as part of that year’s phase. Applications for projects requiring more time will be considered for funding only under limited circumstances. For example, some hydropower project installations may require additional time to secure necessary permits.

Section D: Application and Submission Information

Section D. Application and Submission Information

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

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

By mail: Bureau of Reclamation Financial Assistance Support Section Attn: Mr. Darren Olson P.O. Box 25007, MS 84-27814 Denver, CO 80225

By e-mail: dolson@usbr.gov

By telephone: 303-445-3697

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 total application package shall be no more than 75 consecutively numbered pages. 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 8½ by 11 inches, including charts, maps, and drawings. Oversized pages will not be accepted. The technical proposal and evaluation criteria section shall be limited to a maximum of 50 pages. The SF-424 forms, letters of project support, and official resolution will not be considered in the total page count.

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

D.2.2. Application Content

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

• Mandatory Federal Forms o SF-424 Application for Federal Assistance o SF-424 Budget Information (A or C Form, as applicable to the project) o SF-424 Assurances (B or D Form, as applicable to the project) mailto:dolson@usbr.gov 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

• Title page

• Table of contents

• Technical proposal and evaluation criteria (limited to 50 pages) o Executive summary o Background data o Project Location o Technical project description o Evaluation criteria

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

• Environmental and cultural resources compliance

• Required permits or approvals

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

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

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

SF-424 Application for Federal Assistance

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

SF-424 Budget Information

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

http://www.grants.gov/web/%E2%80%8Cgrants/forms/sf-424-family.html http://www.grants.gov/web/%E2%80%8Cgrants/forms/sf-424-family.html

SF-424 Assurances

A SF-424B Assurances Non-Construction Programs, or an SF-424D Assurances Construction Programs, 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 the Grants Management Point of Contact under Agency Contacts. 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.

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, e-mail 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 (50 pages maximum) includes:

(1) Executive summary

(2) Background data

(3) Technical project description

(4) Project description

(5) Evaluation criteria

Executive Summary

The executive summary should include:

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

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

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

• Whether or not the proposed project is located on a Federal facility

Background Data

As applicable, describe the source of water supply, the water rights involved, current water uses (e.g., agricultural, municipal, domestic, or industrial), the number of water users served, and the current and projected water demand. Also, identify potential shortfalls in water supply. If water is primarily used for irrigation, describe major crops and total acres served.

In addition, describe the applicant’s water delivery system as appropriate. For agricultural systems, please include the miles of canals, miles of laterals, and existing irrigation improvements (e.g., type, miles, and acres). For municipal systems, please include the number of connections and/or number of water users served and any other relevant information describing the system.

If the application includes hydropower or energy efficiency elements, describe existing energy sources and current energy uses.

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

Project Location

Provide specific information on the proposed project location or project area including a map showing the geographic location. For example, {project name} is located in {state and county} approximately {distance} miles {direction, e.g.

northeast} of {nearest town}. The project latitude is {##°##’N} and longitude is {###°##’W}. For larger project areas, please provide location information in one of the following formats:

1. Shapefile (.shp)

2. KMZ/KML (.kmz or .kml) aka Google Earth File, not an exported Google Earth map

3. AutoCAD (.dwg)

4. PDF map (.pdf)

Technical Project Description

The technical 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.

Evaluation Criteria

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

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

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

D.2.2.5. Project Budget The project budget includes:

(1) Funding plan and letters of commitment

(2) Budget proposal

(3) Budget narrative

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 FOA 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.

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

• How you will make your contribution to the cost-share requirement, such as monetary and/or in-kind contributions and source funds contributed by the applicant (e.g., reserve account, tax revenue, and/or assessments).

• Describe any donations or in-kind costs incurred before the anticipated Project start date that you seek to include as project costs. For each cost, identify:

o The project expenditure and amount o The date of cost incurrence o How the expenditure benefits the Project o Provide the identity and amount of funding to be provided by funding partners.

• Describe any funding requested or received from other Federal partners.

Note: other sources of Federal funding may not be counted towards the required cost share unless otherwise allowed by statute.

• Describe any pending funding requests that have not yet been approved, and explain how the project will be affected if such funding is denied.

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

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

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

FUNDING SOURCES AMOUNT

Non Federal Entities

1.

2.

3.

Non-Federal Subtotal

Other Federal Entities

1.

2.

3.

Other Federal Subtotal

REQUESTED RECLAMATION FUNDING

Budget Proposal

The budget proposal should include detailed information on the categories listed below and must clearly identify all Project costs, including those that will be contributed as non-Federal cost share. Unit costs must be provided for all budget items including the cost of work to be provided by contractors. The budget proposal should also include any in-kind contributions or donations of goods and services that will be provided to complete the project. It is strongly advised that applicants use the budget proposal format shown below on Table 2 or a similar format that provides this information. If selected for award, successful applicants must submit detailed supporting documentation for all budgeted costs.

Note: The costs of preparing bids, proposals, or applications on potential Federal and non-Federal awards or projects, including the development of data necessary to support the non-Federal entity’s should be treated as indirect costs and should not be included as a direct project cost (2 CFR §200.460).

Table 2.—Sample B udget Proposal Format

BUDGET ITEM DESCRIPTION COMPUTATION Quantity Type

TOTAL

COST $/Unit Quantity

Salaries and Wages Employee 1 $ Employee 2 $ Employee 3 $ Fringe Benefits Full-Time Employees $ Part-Time Employees $ Travel Trip 1 $ Trip 2 $ Trip 3 $ Equipment Item A $ Item B $ Item C $ Supplies and Materials Item A $ Item B $

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

TOTAL DIRECT COSTS $

Indirect Costs Type of rate percentage $base $

TOTAL ESTIMATED PROJECT COSTS $

Budget Narrative

Submission of a budget narrative is mandatory. An award will not be made to any applicant who fails to fully disclose this information. The budget narrative provides a discussion of, or explanation for, items included in the budget proposal. If in-kind contributions or donations of goods and services are included in the budget proposal, the narrative should identify the source(s) and describe how the value of the goods and services was determined 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 in-kind contributions and donations, must comply with the applicable cost principles contained in 2 CFR Part §200, available at the Electronic Code of Federal Regulations (www.ecfr.gov).

Salaries and Wages

Indicate the program manager and other key personnel by name and title. 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 category. All labor estimates must be allocated to specific tasks as outlined in the applicant’s technical project description. Labor rates and proposed hours shall be displayed for each task. The budget proposal and narrative should include estimated hours for compliance with reporting requirements, including final project and evaluation. Please see Section F.3.2. Program Performance Reports for information on types and frequency of reports required.

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

Fringe Benefits

Identify the rates/amounts, what costs are included in this category, and the basis of the rate computations. Indicate whether these rates are used for application purposes only or whether they are fixed or provisional rates for billing purposes.

Federally approved rate agreements are acceptable for compliance with this item.

Travel

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

Equipment

If equipment will be purchased, itemize all equipment valued at or greater than $5,000. For each item, identify why it is needed for the completion of the Project and how the equipment was priced. Note: if the value is less than $5,000, the item should be included under materials and supplies.

If equipment is being rented, specify the number of hours and the hourly rate.

Local rental rates are only accepted for equipment actually being rented or leased.

If the applicant intends to use their own equipment for the purposes of the project, the proposed usage rates should fall within the equipment usage rates outlined by the United States Army Corps of Engineers (USACE) within their Construction Equipment Ownership and Operating Expense Schedule (EP 1110-1-8) at www.publications.usace.army.mil/USACE-Publications/Engineer- Pamphlets/u43545q/313131302D312D38.

Note: If the equipment will be furnished and installed under a construction contract, the equipment should be included in the construction contract cost estimate.

Materials and Supplies

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

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. Identify how the budgeted costs for sub-recipients, consultants, or contractors were determined to be fair and reasonable. Note: If a sub-recipient, consultant, or contractor is proposed and approved at the time of award, no other approvals will be required. Any changes or additions will require a request for approval.

Environmental and Regulatory Compliance Costs

Applicants must include a line item in their budget to cover environmental compliance costs. “Environmental compliance costs” refer to costs incurred by Reclamation and the recipient in complying with environmental regulations applicable to an award under this FOA, including costs associated with any required documentation of environmental compliance, analyses, permits, or approvals. Applicable Federal environmental laws could include National Environmental Policy Act (NEPA), Endangered Species Act (ESA), National Historic Preservation Act (NHPA), Clean Water Act (CWA), and other regulations depending on the project. Such costs may include, but are not limited to:

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

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

• The cost incurred by Reclamation to review any environmental compliance documents prepared by a consultant http://www.publications.usace.army.mil/USACE-Publications/Engineer-Pamphlets/u43545q/313131302D312D38 http://www.publications.usace.army.mil/USACE-Publications/Engineer-Pamphlets/u43545q/313131302D312D38

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

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

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

Applicants with a federally approved indirect cost rate agreement may include indirect costs as part of the project budget. Show the agreed upon rate, cost base, and proposed amount for allowable indirect costs. 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…