fy2011-cat-foa-final.pdf

U.S. Department of the Interior Bureau of Reclamation Policy and Administration Denver, Colorado March 2011

Funding Opportunity Announcement No. R11SF80344

WaterSMART:

Grants to Develop Climate Analysis Tools 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 Grants to Develop Climate Analysis Tools

Announcement Type: Funding Opportunity Announcement (FOA)

Funding Opportunity Number:

R11SF80344

Catalog of Federal Domestic Assistance (CFDA) Number:

15.507

Dates:

(See FOA Sec. IV.B)

Application due date:

May 13, 2011, 4:00 p.m. Mountain Standard Time (MST)

Eligible Applicants:

(See FOA Sec. III.A)

Universities, non-profit research institutions, or organizations with water or power delivery authority

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 $200,000 per agreement

Estimated Number of Agreements to be Awarded:

(See FOA Sec. II.B)

2-6 (The number of agreements awarded will be contingent upon final FY 2011 appropriations.)

Estimated Total Amount of Funding Available for Award:

(See FOA Sec. II.A)

The President’s fiscal year (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.

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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/aapproved_ standard_forms.jsp#1> Page 19

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

<http://www.grants.gov/agencies/aapproved_ standard_forms.jsp#1> Page 19

Title page Page 19 *

Table of contents Page 19 *

Technical proposal and evaluation criteria:

• Executive summary

• Technical project description

• Evaluation criteria

Pages 20-23

Environmental and Regulatory Compliance

Page 23 *

Required permits and approvals Page 25 *

Funding plan Page 25 *

Letters of commitment Page 25

Official resolution Page 26 **

Project budget proposal:

• General requirements

• Budget format

• Budget narrative

• Budget form

Pages 27-30

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

<http://www.grants.gov/agencies/aapproved_ standard_forms.jsp#1> Page 30

* Submit materials with your application on May 13, 2010 ** Documents should be submitted with your application; however, please refer to the applicable Section of the FOA for extended submission dates.

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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 CSC Climate Science Center DOI Department of 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 FAQ Frequently Asked Question FOA Funding Opportunity Announcement GO Grants Officer IRS Internal Revenue Service LCC Landscape Conservation Cooperative NEPA National Environmental Policy Act NHPA National Historic Preservation Act NOAA – RISA National Oceanic and Atmospheric Administration –

Regional Integrated Sciences and Assessments OMB Office of Management and Budget ROD Record of Decision TIN Taxpayer Identification Number USACE U.S. Army Corps of Engineers USGS U.S. Geological Survey WaterSMART Sustain and Manage America’s Resources for Tomorrow WWCRA West-Wide Climate Risk Assessment

Contents ix

Page

Section I. Funding Opportunity Description I.A. WaterSMART Grants: Grants to Develop Climate Analysis Tools I.B. Objective of Funding Opportunity Announcement 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.C.1. Reclamation Involvement II.C.2. Technical Assistance

II.D. Award Date Section III. Eligibility Information

III.A. Eligible Applicants III.B. Eligible Research Projects

III.B.1. Research Area A. Obtaining Climate Change Information III.B.2. Research Area B. Make Decisions About how to Use Climate Change Information III.B.3. Research Area C. Assess Natural System’s Response to Climate Change III.B.4. Research Area D. Assess Socioeconomic and Institutional Response III.B.5. Research Area E. Assess Systems Risks and Evaluate Alternatives 9 III.B.6. Research Area F. Assess and Characterize Uncertainties III.B.7. Research Area G. Communicate Results and Uncertainties to Decision- Makers

III.C. Length of Research Projects 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—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 Research Project Application

IV.D.1. Applying for Funds Online at Grants.gov IV.D.2. Assistance with Grants.gov IV.D.3. Registering to Use Grants.gov (1-3 week process) IV.D.4. Application Format and Length IV.D.5. Application Content

IV.E. Funding Restrictions x

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. 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.B. Environmental Laws VIII.B.1. National Environmental Policy Act VIII.B.2. National Historic Preservation Act VIII.B.3. Endangered Species Act

Section I. Funding Opportunity Description

Section I. Funding Opportunity Description

I.A. WaterSMART Grants: Grants to Develop Climate Analysis Tools Water is our most precious natural resource, and is increasingly stressed by the demands our society places on it. Adequate water supplies are an essential element in human survival, ecosystem health, energy production, and economic sustainability. 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.

Aggressive action is required to address future water supply challenges, including degradation in water quality caused by pollution and land use practices, decreases in flow, declines in groundwater levels, and aging infrastructure. 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 DOI bureaus and offices. Through the program, DOI is working to achieve a sustainable water strategy to meet the Nation’s water needs. Through WaterSMART Grants to Develop Climate Analysis Tools, Reclamation provides cost-shared funding on a competitive basis for research activities that are designed to enhance the management of water resources in a changing climate.

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

I.B. Objective of Funding Opportunity Announcement The objective of this Funding Opportunity Announcement (FOA) is to invite universities, non-profit research institutions, and organizations with water or power delivery authority to leverage their money and resources by cost sharing with Reclamation on activities designed to enhance the management of water resources, including developing tools to assess the impacts of climate change on water resources.

These projects will focus on the information gaps outlined in the joint Reclamation and United States Army Corps of Engineers Report titled Addressing Climate Change in Long-Term Water Resources Planning and Management: User Needs for Improving Tools and Information. Projects will support ongoing efforts under 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), including efforts within DOI Landscape Conservation Cooperatives (LCCs), Basin Studies, and West-Wide Climate Risk Assessments (WWCRAs). These three programs serve important functions in addressing the effects of climate change on water resources:

• LCCs are partnerships that bring together science and resource conservation to support and complement adaptation strategies addressing climate change and water conservation.

• Basin Studies are comprehensive water supply and demand studies evaluating the ability to meet future water demands within a basin or sub-basin.

• WWCRAs provide a consistent baseline of climate impact information that the Basin

Studies may use.

Together, these programs support Reclamation’s efforts to meet the obligation under Section 9503 of the SECURE Water Act of establishing a climate change adaptation program. The research projects will assist these efforts by helping to narrow uncertainties, provide information in more usable forms, or develop more robust strategies for incorporating uncertainty into decision-making.

Enhanced water management is a crucial element of any plan to address the Nation’s water issues. With leveraged water management research grants, an important step will be taken towards improving water management for a more efficient use of water in the West.

I.C. Program Authority This FOA is issued under the authority of the 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 and the application process can be found on-line at <http://www.usbr.gov/WaterSMART>. The FAQs will be updated periodically during the application period.

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Section II. Award Information

Section II. Award Information

II.A. Total Project Funding The President’s fiscal year (FY) 2011 budget request includes $27 million 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 WaterSMART Grants to Develop Climate Analysis Tools. The amount of funding available 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/grants.html> for updated funding information.

II.B. Project Funding Limitations Reclamation’s share of any one proposed project shall not exceed 50 percent of the total project costs. Up to $200,000 in Federal funding will be available for each project award.

Reclamation may make awards exceeding that amount on a case-by-case basis.

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 II.C.1. Reclamation Involvement Research 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 research 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 research project.

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II.C.2. Technical Assistance At the request of the recipient, Reclamation may provide technical assistance after award of the project. If you receive Reclamation’s assistance, you must account for such costs in your budget. To discuss assistance available and the costs of such assistance, you may contact David Raff at 303-445-2461 for further information.

II.D. Award Date Reclamation expects to contact potential award recipients and unsuccessful applicants in July 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 who successfully pass all pre-award reviews and clearances.

Section III. Eligibility Information

III.A. Eligible Applicants In accordance with P.L. 111-11, Section 9504, of the SECURE Water Act, eligible applicants include any:

• University located in the United States

• Non-profit research institution located in the United States

• Organization with water or power delivery authority 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)

III.B. Eligible Research Projects Projects should seek to develop knowledge, information, and tools that will lead to enhanced long-term water resources planning in the Western United States with respect to future climate. Proposed projects are expected to deliver new capabilities that address information gaps detailed in the joint Reclamation and United Stated Army Corps of Engineers (USACE) Report titled Addressing Climate Change in Long-Term Water Resources Planning and Management: User Needs for Improving Tools and Information, Section 3, Table 1. The identification of user needs within the document was developed by Reclamation and USACE and includes perspectives from other Federal and non- Federal water resource organizations and interest groups. The information gaps in Table 1 of the report were identified by water and environmental resource management agencies as critical to their ability to effectively manage water and aquatic habitats in a changing climate. For a more detailed description of any of the eligible Research Areas, please see the full report, Addressing Climate Change in Long-Term Water Resources Planning and Management: User Needs for Improving Tools and Information.

This FOA is available for research activities that will help enhance the management of water resources. Research Areas A-G, below, describe projects eligible for funding under this FOA. All projects must be completed by September 30, 2013, unless otherwise agreed upon. Applicants may submit multiple project proposals.

Research Areas A-G correspond to the analytical steps in the process by which climate information can inform the management of water resources. Within the context of this FOA, seven analytical steps are characterized:

1) Obtaining Climate Change Information (Research Area A)

2) Make Decisions About How To Use the Climate Change Information (Research

Area B)

3) Assess Natural Systems Response (Research Area C)

4) Assess Socioeconomic and Institutional Response (Research Area D)

5) Assess System Risks and Evaluate Alternatives (Research Area E)

6) Assess and Characterize Uncertainties (Research F)

7) Communicating Results and Uncertainties to Decision-makers (Research Area G)

III.B.1. Research Area A. Obtaining Climate Change Information These projects address the first analytic step in the process by which climate information can inform the management of water resources. This step involves obtaining contemporary climate information relevant to water resources planning at the regional to local scale. This climate information can include contemporary projections of future climate data and associated uncertainties that have been spatially downscaled to finer resolution, or paleoclimate proxies that may imply climate conditions different from those of the observed record. An eligible project should produce scientific information supporting the fulfillment of an information gap(s) identified in this analytical step, including:

1) Improved skill in simulating long-term global to regional climate.

2) Downscaled data at finer space and time resolutions and for more than just temperature and precipitation. Proposals should seek to improve existing capabilities currently available to water managers (e.g., the Bias Corrected and Spatially Downscaled WCRP CMIP3 Climate Projections <http://gdo-dcp.ucllnl.org/downscaled_cmip3_projections/>, which includes monthly BCSD projections of temperature and precipitation at 12km resolution and (February 2011) daily Bias Corrected – Constructed Analogs (BCCA) projections of minimum temperature, maximum temperature and precipitation also at 12km resolution).

3) Information on the strengths and weaknesses of downscaled data and the downscaling methodologies used to develop these data (including both statistical and dynamical methods, and associated approaches for climate model bias-correction).

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4) Indication of conditions of where and when the stationarity assumption of statistical downscaling may not hold and should motivate use of dynamical downscaling techniques rather than statistical.

5) Synthesis of sea level projection information and guidance on consistent use in planning for all Reclamation and USACE coastal areas.

III.B.2. Research Area B. Make Decisions About how to Use Climate Change Information These projects address the second analytic step in the process by which climate information can inform the management of water resources. After obtaining climate projections information in step 1 (Research Area A), decisions must be made on: (i) which portion of this projection information to use within the water resources management application and (ii) how the retained portion will be related to water resources application scenarios. An eligible project should produce scientific information supporting the fulfillment of an information gap(s) identified in this analytical step, including:

1) Understanding on observed climate variability from daily to multidecadal time scales, which underpins interpretation of future variability in climate projections and its relation to planning assumptions.

2) Understanding on how to interpret climate projections’ simulated climate variability on longer-term scales (from annual to multidecadal scales).

3) Basis for culling or weighting climate projections (if at all) when deciding which projections to use in planning.

4) Guidance on how to appropriately relate planning assumptions to either Period-

Change or Time-Developing aspects of climate projections, when deciding how to use projections in planning.

5) Guidance on how to jointly use the longer-term climate variability from observed records, paleoclimate, and projected climate information when portraying drought and surplus possibilities in planning.

6) Method and basis for estimating extreme meteorological event possibilities, deterministically or probabilistically, in a changing climate.

III.B.3. Research Area C. Assess Natural System’s Response to Climate Change These projects address the third analytic step in the process by which climate information can inform the management of water resources. This step involves using future climate information, as described in step 1 (Research Area A) and the decisions of how to use it described in step 2 (Research Area B), to evaluate the natural system response. Natural systems’ responses include watershed hydrology, ecosystems, land cover, water quality, consumptive use of irrigated areas (physical drivers only), and sedimentation. An eligible project should produce scientific information supporting the fulfillment of an information gap(s) identified in this analytical step, including:

1) Guidance on strengths and weaknesses of watershed hydrologic models/methods to support scoping decisions in planning.

2) Understanding on how climate change should impact potential evapotranspiration and how it is represented in watershed hydrologic models.

3) Method and basis for estimating extreme meteorological event possibilities, deterministically or probabilistically, in a changing climate (focused here on hydrology rather than meteorological variables).

4) Guidance on strengths and weaknesses of available versions of spatially distributed hydrologic weather data that may be used for both watershed hydrologic model development (Research Area C) and in climate model bias-correction (Research Area A).

5) Understanding on how climate change should impact groundwater recharge and groundwater interaction with surface water supplies.

6) Understanding on how climate change should impact inland and coastal anadromous fisheries.

7) Understanding on how climate change may impact riparian ecosystems and vegetation that affect both longer-term water budgets and ecological resources.

8) Understanding translated into model frameworks for assessing climate change responses for fisheries, nonnative riparian vegetation, and other species or habitat conditions.

9) Understanding on how climate and/or carbon dioxide changes should impact land cover communities that control natural evapotranspiration and soil erosion potential.

10) Understanding on how water quality characteristics depend on climatic variables and how dependencies may evolve in a changing climate.

11) Understanding on how climate and carbon dioxide changes should impact plant physiology, how impacts vary with crop type, and how impacts affect irrigation demand.

12) Understanding how climate and/or land cover changes will change watershed sediment yield, changes in sediment constituency, and the resulting impacts on water resources.

13) Understanding how climate, land cover, and/or sedimentation changes will affect river and reservoir ice-event potential.

III.B.4. Research Area D. Assess Socioeconomic and Institutional Response These projects address the fourth analytic step in the process by which climate information can inform the management of water resources. This step involves assessing how social and economic systems, that are influenced by climate change, may respond to climate information, and translating those responses into adjusted water resources management assumptions about water demands, sources of supply, and constraints on operations. Constraints on operations include assumptions of societal prioritizations across potentially competing water use interests such as environmental, water quality, and flood risk reduction. An eligible project should produce scientific information supporting the fulfillment of an information gap(s) identified in this analytical step, including:

1) Understanding on how socioeconomic factors may affect flood risk reduction and reservoir regulation objectives in a changing climate (e.g., flood protection values, land management).

2) Understanding on how socioeconomic factors may affect water and power delivery reliability, water allocations, as well as decisions on source of supply under a changing climate (e.g., groundwater pumping versus surface water diversion).

3) Understanding on how institutional realities currently control socioeconomic responses to climate variability and could control socioeconomic responses under a changing climate.

III.B.5. Research Area E. Assess Systems Risks and Evaluate Alternatives These projects address the fifth step in the process by which climate information can inform the management of water resources. This step involves integrating the natural and social system responses to future climate (results from Steps 3 and 4) into either water resources assessments (i.e., supplies, demands, and constraints on operations that frame reservoir operation analyses) or infrastructure safety and flood risk-reduction assessments (i.e., hydrologic hazard and socioeconomic assumptions framing these assessments). An eligible project should produce scientific information supporting the

1) Guidance on how to conduct an adaptation evaluation that efficiently explores and rank strategy options, potentially using optimization techniques.

2) Guidance on how to portray realistic operator learning in evaluations supporting planning for climate change adaptation.

3) Guidance on how to assess the effect of planning proposals on climate.

III.B.6. Research Area F. Assess and Characterize Uncertainties These projects address the sixth step in the process by which climate information can inform the management of water resources. This step involves assembling the various uncertainties that were individually introduced, assessed, and characterized during the course of Steps 1 through 5 (as possible). This step also involves assessing the interactions between these uncertainties (as far as possible). These projects will characterize the uncertainties associated with a climate change impact and risk evaluation study. An eligible project should produce scientific information supporting the

1) Uncertainty information on global climate projections data, including uncertainties about climate system science, portrayal in climate models, emissions scenario development, and simulation methods.

2) Uncertainty information on regional climate projections data, including uncertainties from choice of bias-correction and spatial downscaling methods.

3) Uncertainty in planning results stemming from method choices on how to use transient characteristics of climate projections in planning scenarios.

4) For each response analysis on a natural system, uncertainty information on system science and associated ways of portraying this science in a system model and the observations used to customize a model for a specific system.

5) For each response analysis on a socioeconomic system, uncertainty information on system science and associated ways of portraying this science in a system model and the observations used to customize a model for a specific system.

III.B.7. Research Area G. Communicate Results and Uncertainties to Decision-Makers These projects address the seventh step in the process by which climate information can inform the management of water resources. After completing the analytical tasks of the planning evaluation, results are summarized and presented for the consideration of decision-makers and interested parties, along with characterized uncertainties. An eligible project should produce scientific information supporting the fulfillment of an information gap(s) identified in this analytical step, including:

1) Guidance on strengths and weaknesses of various methods for communicating results and uncertainties affected by the use of climate projection information.

2) Guidance on how to make decisions given the uncertainties introduced by consideration of climate projection information.

III.C. Length of Research Projects Proposed research projects should be completed within 24 months from the project start date. Applications for activities requiring more than 2 years will be considered if the applicant can demonstrate that there will be measureable 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.C., “Application Delivery Instructions” and contain the information stated at Section IV.D.5, “Application Content,” Subsection “Funding Plan and Letters of Commitment.”

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.

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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 or construction of a project, 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—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.

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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:

• May 13, 2011, 4:00 p.m. Mountain Standard Time (MST)

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 with redactions as needed) 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. Under no circumstances will applications received through any other method (such as email or fax) be considered eligible for award.

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

6th Avenue and Kipling Street Denver, CO 80225

Telephone: 303-445-2025

IV.D. Instructions for Submission of Research Project 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.

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• 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 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>.

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IV.D.2. 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 calling 1-800-518-4726 or by email at <support@grants.gov>.

IV.D.3. 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.

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√ 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.

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√ 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.4. Application Format and Length The total application package shall be no more than 50 consecutively numbered pages, and shall be single spaced. If an application exceeds 50 pages, only the first 50 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 20 (twenty) 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.

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IV.D.5. Application Content The application must include the following elements in order to be considered complete:

• SF-424 Core Form – Application cover page

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

• Title page

• Table of contents

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

• Environmental and Regulatory Compliance

• Required permits and approvals

• Funding plan and letters of commitment

• Official resolution

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

SF-424, SF-424A, SF-424B, SF-424C, and SF-424D forms may be obtained at <http://www.grants.gov/agencies/aapproved_standard_forms.jsp#1>.

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 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 a SF- 424B or SF-424D should be referred to. Michelle Maher at: mmaher@usbr.gov.

Failure to submit a properly signed SF-424B or SF-424D 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 fax numbers of the research project manager.

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

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Technical Proposal and Evaluation Criteria The technical proposal (20 pages maximum) includes: (1) the Executive Summary,

(2) Technical Project Description, and (3) Research 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:

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

• A one-paragraph project summary that specifies the Research Area (A, B, C, D, E, F, or G) and briefly identifies how the proposed project contributes to accomplishing the goals of this research area (see Section III.B, “Eligible Research Projects”).

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

Technical Proposal: Technical Project Description.

The technical project description should describe the work in detail and the approach to be used to carry it out. Break the work out into major tasks. This description shall have sufficient detail to permit a comprehensive evaluation of the proposal. The technical project description should also:

1) Describe the goal of the work in…