NOFO FY21 SWEP (Final).pdf

U.S. Department of the Interior January 2021

WaterSMART Grants:

Small-Scale Water Efficiency Projects Notice of Funding Opportunity No. R21AS00300

Mission Statements The Department of the Interior (DOI) conserves and manages the Nation’s natural resources and cultural heritage for the benefit and enjoyment of the American people, provides scientific and other information about natural resources and natural hazards to address societal challenges and create opportunities for the American people, and honors the Nation’s trust responsibilities or special commitments to American Indians, Alaska Natives, and affiliated island communities to help them prosper.

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: Huntington Cleveland Canal, Emery County Project, Utah

Synopsis iii

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

Engineer Funding Opportunity Title: WaterSMART Grants: Small-Scale Water Efficiency Projects Announcement Type: Notice of Funding Opportunity (NOFO) Funding Opportunity Number: R21AS00300 Catalog of Federal Domestic Assistance (CFDA) Number:

15.507

Dates:

(See NOFO Sec. D.4)

Application due Date:

Thursday, March 18, 2021, 4:00 p.m. Mountain Daylight Time (MDT)

Eligible Applicants:

(See NOFO Sec. C.2.1)

Category A: States; Indian Tribes; irrigation districts; water districts;

state, regional, or local authorities, whose members include one or more organizations with water or power delivery authority; and other organizations with water or power delivery authority.

Category B: Nonprofit conservation organizations that are acting in partnership and with the agreement of an entity described in Category A.

All applicants must be located in the Western United States or United States Territories, including Alaska, Arizona, California, Colorado, Hawaii, Idaho, Kansas, Montana, Nebraska, Nevada, New Mexico, North Dakota, Oklahoma, Oregon, South Dakota, Texas, Utah, Washington, Wyoming, American Samoa, Guam, the Northern Mariana Islands, the Virgin Islands, and Puerto Rico.

Recipient Cost Share:

(See NOFO Sec. C.2)

50 percent or more of total project costs.

Federal Funding Amount:

(See NOFO Sec. B.1)

Up to $75,000 per applicant. Total project costs should generally be $200,000 or less

Estimated Number of Agreements to be Awarded:

(See NOFO Sec. B.1)

Approximately 30-40 projects contingent upon available appropriations.

Application Checklist v

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

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 13 *

Table of contents See Sec. D.2.2.3 Page 13 *

Technical proposal: *

Executive summary See Sec. D.2.2.4 Page 13 *

Project location See Sec. D.2.2.4 Page 14 *

Project description See Sec. D.2.2.4 Page 14 *

Evaluation criteria See Sec. E.1 Page 27 *

Project Budget: *

Funding plan See Sec. D.2.2.5 Page 15 *

Budget proposal See Sec. D.2.2.5 Page 16 *

Budget narrative See Sec. D.2.2.5 Page 18 *

Environmental and cultural resources compliance

See Sec. D.2.2.6 Page 21 *

Required permits or approvals See Sec. D.2.2.7 Page 21 *

Official Resolutions See Sec. D.2.2.8 Page 21 **

Unique Entity Identifier and System for Award Management

See Sec. D.3 Page 22 ***

* Submit materials with your application.

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

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

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

Acronyms and Abbreviations vii

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 Department U.S. Department of the Interior DUNS Data Universal Number System EA Environmental Assessment EIS Environmental Impact Statement EQIP Environmental Quality Incentives Program ESA Endangered Species Act FOIA Freedom of Information Act FONSI Finding of No Significant Impact FY fiscal year MDT Mountain Daylight Time MTDC modified total direct costs NEPA National Environmental Policy Act NHPA National Historic Preservation Act NOAA National Oceanic and Atmospheric Administration NOFO Notice of Funding Opportunity NRCS Natural Resource Conservation Service OM&R operations, maintenance, and replacement P.L. Public Law SAM System of Award Management SCADA Supervisory Control and Data Acquisition and Automation Reclamation Bureau of Reclamation USACE United States Army Corps of Engineers USDA U.S. Department of Agriculture U.S.C. United States Code USFWS U.S. Fish and Wildlife Service WaterSMART Sustain and Manage America’s Resources for Tomorrow

Contents ix

Contents Page

Synopsis .................................................................................................................................. iii Application Checklist ............................................................................................................... v Acronyms and Abbreviations ................................................................................................ vii Section A. Funding Opportunity Description

A.1. Program Information A.2. Objective of this Notice of Funding Opportunity 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 Funding B.2. Project Funding Limitations B.3. Environmental and Cultural Resource Compliance B.4. Assistance Instrument

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

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

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

Section F. Federal Award Administration Information F.1. Federal Award Notices F.2. Administrative and National Policy Requirements F.3. Reporting—Requirements and Distribution F.4. Conflicts of Interest F.5. Data Availability F.6. Releasing Applications

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

Section H. Other Information H.1. Environmental and Cultural Resource Considerations H.2. Background on Federal Environmental and Cultural Resource Laws

Section A. Funding Opportunity Description

Section A. Funding Opportunity Description A.1. Program Information The U.S. Department of the Interior’s (Department) WaterSMART (Sustain and Manage America’s Resources for Tomorrow) Program provides a framework for Federal leadership and assistance to stretch and secure water supplies for future generations. Through WaterSMART, the Bureau of Reclamation (Reclamation) leverages Federal and non-Federal funding to support stakeholder efforts to stretch scarce water supplies and avoid conflicts over water.

Through Small-Scale Water Efficiency Projects, Reclamation provides assistance to States, Tribes, irrigation districts, water districts, and other entities with water or power delivery authority to undertake small-scale water efficiency projects that have been prioritized through planning efforts led by the applicant. These projects conserve and use water more efficiently; mitigate conflict risk in areas at a high risk of future water conflict; and accomplish other benefits that contribute to water supply reliability in the western United States. For further information on WaterSMART Grants, please see www.usbr.gov/watersmart/index.html.

This Small-Scale Water Efficiency Projects Notice of Funding Opportunity (NOFO) supports Small-Scale Water Efficiency Projects that have been prioritized through planning efforts led by the applicant. These projects are generally in the final design stage, environmental and cultural resources compliance have been initiated or already completed, and the non-Federal funding, necessary permits, and other required approvals have been secured.

Small-Scale Water Efficiency Projects are a component of Reclamation’s WaterSMART Grants Program, which also includes Water and Energy Efficiency Grants and Water Marketing Strategy Grants. For further information on the WaterSMART Grants Program, please see www.usbr.gov/watersmart/index.html.

A.2. Objective of this Notice of Funding Opportunity The objective of this NOFO 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 small-scale on-the-ground projects that seek to conserve, better manage, or otherwise make more efficient use of water supplies.

Proposed projects that are supported by an existing water management and conservation plan, System Optimization Review, or other planning effort led by the applicant are prioritized. This prioritization will help ensure that projects funded under this NOFO are well thought out, have public support, and have been identified as the best way to address water management concerns.

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

A.2.1 Streamlined Application and Selection Process Reclamation has simplified the evaluation criteria and streamlined the application process for this category of WaterSMART Grants to ensure the process works for smaller entities. Simplified evaluation criteria are intended to provide each applicant with an opportunity to succinctly explain how the proposed project would meet a defined need identified through a prior planning effort.

Reclamation has also clarified the budget documentation necessary under this NOFO in recognition of the small-scale nature of the projects being funded.

A.3. Statutory Authority This NOFO 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 (P.L.) 111-11 (42 United States Code [U.S.C.] 10364), as amended.

A.4. Other Related Funding Opportunities Reclamation provides funding for water management projects through several other programs under WaterSMART. Through WaterSMART Grants, Reclamation provides two additional funding opportunities. Water and Energy Efficiency Grants focus on projects that result in quantifiable and sustained water savings and projects that increase hydropower use. Through Water Marketing Strategy Grants, Reclamation provides support for entities exploring actions that can be taken to develop or facilitate water marketing.

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 supported by an existing drought contingency plan to build long term resilience to drought.

Reclamation also provides financial assistance for watershed group development, restoration planning, and watershed management project design (Phase I) and watershed management project implementation through the Cooperative Watershed Management Program. For information on the NOFOs listed here, 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 (USDA) Natural Resources Conservation Service (NRCS) are collaborating to align program resources in areas 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 http://www.usbr.gov/watersmart/index.html http://www.usbr.gov/watersmart/index.html

Section A. Funding Opportunity Description 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. In fiscal year (FY) 2017, Reclamation and NRCS began working together to expand this partnership to include collaboration on a broader range of activities, including projects funded through this NOFO.

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

Under this NOFO, consideration will be given under Section E.1.1. Evaluation Criterion A—Project Benefits 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 local 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.nrcs.usda.gov/wps/portal/nrcs/main/national/contact/states/

Section B. Award Information

Section B. Award Information B.1. Total Funding Approximately $3 million is available for this NOFO, with per-project and recipient funding limits as described in Section B.2. Project Funding Limitations. The total amount of funding for awards under this NOFO will depend on the demand for funding under this and other categories of WaterSMART Grants.

Applications submitted under this NOFO may also be considered if additional funding becomes available in FY 2021 or thereafter.

B.2. Project Funding Limitations No more than one award will be made to a Category A applicant per FY under this NOFO.

Category B applicants may receive multiple awards for separate projects with different Category A partners. See Section C.1. Elig ible Applicants for additional information on applicant eligibility. The Federal share 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.

Up to $75,000 in Federal funds per proposal will be available through this NOFO to implement small-scale on-the-ground water efficiency projects. To be considered a small-scale project, total project costs should generally be $200,000 or less. The budget proposal must include the cost of all equipment, materials and supplies, and labor or contractual costs to complete the project. Note: The Application Review Committee (ARC; See Section E.2.2. Application Review Committee) has final discretion to determine whether a project is “small-scale.”

Projects that have a total project costs totaling more than $200,000 should be submitted under the WaterSMART Grants: Water and Energy Efficiency Grants NOFO. Reclamation will not award funding for the same activity under both this NOFO and this year’s Water and Energy Efficiency Grants NOFO.

B.3. Environmental and Cultural Resource Compliance All projects selected for funding under this NOFO will be required to comply with Federal environmental and cultural resource laws and other regulations. Projects funded under this NOFO may require the completion of an environmental assessment (EA) under the National Environmental Policy Act (NEPA), which can be costly. Please consider this when developing your project budget. See Section D.2.2.5 Project Budget for additional information.

B.4. 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, applicants eligible to receive an award under this NOFO include:

1. Category A:

• States, Indian Tribes, irrigation districts, and water districts;

• State, regional, or local authorities, whose members include one or more organizations with water or power delivery authority; and

• Other organizations with water or power delivery authority.

2. Category B: Nonprofit conservation organizations that are acting in partnership with and with the agreement of an entity described in Category A. Category B applicants must include with their application a letter from the Category A partner, stating that they are acting in partnership with the applicant and agree to the submittal and content of the proposal.

To be eligible, applicants must also be located in one of the following States or Territories: Alaska, Arizona, California, Colorado, Hawaii, Idaho, Kansas, Montana, Nebraska, Nevada, New Mexico, North Dakota, Oklahoma, Oregon, South Dakota, Texas, Utah, Washington, Wyoming, American Samoa, Guam, the Northern Mariana Islands, the Virgin Islands, and Puerto Rico.

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

• Federal governmental entities

• Institutions of higher education

• Individuals

• 501(c)4 organizations

• 501(c)6 organizations

C.2. Cost-Sharing Requirements Applicants must be capable of cost sharing 50 percent or more of the total project cost. The total project cost is defined as the total allowable costs incurred under a Federal award and all required cost share and voluntary committed cost-share contributions, including third-party contributions.

Cost share may be made through cash, costs contributed by the applicant, or third-party in-kind contributions. Third-party in-kind contributions is the value of non-cash contributions of property or services that benefit the federally assisted project and are contributed by non-Federal third parties, without charge. 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.2.2.8. Official Resolution and Section D.2.2.5. Funding Plan and Letters of Commitment for more information regarding the documentation required to verify commitments to meet cost-sharing requirements.

Other sources of Federal funding may not be counted towards the required cost share. 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. If it is determined that the Federal funding cannot be applied towards the non-Federal cost share, the work associated with the funding may be removed from the proposed project.

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. Third-Party In-Kind Contributions Third-party in-kind contributions may be in the form of equipment, supplies, and other expendable property, as well as the value of services directly benefiting and specifically identifiable to the proposed project. The cost or value of third-party in-kind contributions that have been or will be relied on to satisfy a cost-sharing or matching requirement for another Federal financial assistance agreement, a Federal procurement contract, or any other award of Federal funds may not be relied on to satisfy the cost-share requirement for an award under this NOFO. Applicants should refer to 2 CFR §200.434 Contributions and donations for regulations regarding the valuation of third-party in-kind contributions, available at www.ecfr.gov.

C.3. Eligible Projects

C.3.1 Eligible Projects Reclamation will provide funding for small-scale on-the-ground water efficiency projects which seek to implement work identified in an applicant’s water planning efforts.

Example projects include, but are not limited to:

• Canal lining/piping

• Municipal metering

• Irrigation flow measurement

• Supervisory Control and Data Acquisition and Automation (SCADA)

• Irrigation measures

Other projects that are similar to those tasks listed above may be submitted for consideration and will be allowed to the extent that they are consistent with program authorization and goals.

http://www.ecfr.gov/

Section C. Eligibility Information

C.3.2. Ineligible Projects Projects that are not eligible for funding under this NOFO include, but are not limited to:

• Projects considered normal operations, maintenance, and replacement (OM&R)

• Reclamation, reuse, and desalination projects

• Water purchases

• Construction of buildings for administration purposes

• Pilot projects

• Installation of high-efficiency indoor appliances and fixtures, including toilets and urinals

The subsections below explain more about these types of ineligible projects.

C.3.2.1. Operations, Maintenance, and Replacement In accordance with Section 9504 of Secure Water Act, projects that are considered normal OM&R are not eligible for funding under this NOFO. 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., a 10-year interval)

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

• Sealing cracks in canals and/or pipes, including those sealant projects intended to improve facilities with inherent design and construction flaws

• Replacing broken meters with new meters of the same type

• Replacing leaky pipes with new pipes of the same type

• Completion of one-time leak detection surveys

Applicants that have questions regarding OM&R are encouraged to contact the Program Coordinator (see Section G. Agency Contacts) prior to the application deadline for further information.

C.3.2.2. Reclamation, Reuse, and Desalination Water reclamation, reuse, and desalination projects are not eligible for funding under this NOFO.

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 Ms. Amanda Erath at 303-445-2766 or aerath@usbr.gov.

C.3.2.3. Water Purchase Proposals to use Federal funding to purchase water are not eligible under this NOFO. Applicants seeking funding to purchase water in a drought emergency should request emergency drought assistance under Reclamation’s Drought Response Program. For more information about the requirements for receiving emergency drought assistance, please see www.usbr.gov/drought/.

C.3.2.4. Building Construction Proposals to construct a building are not eligible for Federal funding under this NOFO (e.g., a building to house administrative staff or to promote public awareness of water conservation).

C.3.2.5. Pilot Projects Proposals to conduct a pilot study to evaluate technical capability, economic feasibility, or viability for full-scale implementation or to test an unproven material or technology are not eligible for Federal funding under this NOFO.

C.3.2.6. High-Efficiency Appliances and Fixtures Proposals to install high-efficiency indoor appliances and fixtures, including toilets, either directly or through rebate programs, are not eligible for Federal funding under this NOFO.

C.3.3. Construction Start Date Restrictions Proposed projects shall not have a construction start date that is prior to January 31, 2022.

C.3.4. Length of Projects In general, proposed projects should be completed within two years of award. Applications for projects requiring more time will be considered for funding only under limited circumstances.

Reclamation retains the right to make a determination about the feasibility of a project to be completed within the timeframe identified in the application.

mailto:aerath@usbr.gov https://www.usbr.gov/drought/

Section D. Application and Submission Information

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

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

By mail:

By email:

Bureau of Reclamation Financial Assistance Support Section Attn: Mr. Matthew Reichert P.O. Box 25007, MS 84-27133 Denver, CO 80225 bor-sha-fafoa@usbr.gov

By phone:

By mail:

By email:

303-445-3865

OR

Bureau of Reclamation Financial Assistance Support Section Attn: Mr. Ned Weakland P.O. Box 25007, MS 84-27133 Denver, CO 80225 bor-sha-fafoa@usbr.gov

By phone: 303-445-3757

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 technical proposal and criteria section (defined below) shall be limited to a maximum of 15 consecutively numbered pages. If this section exceeds 15 pages, only the first 15 pages will be evaluated. The font shall be at least 12 points in size and easily readable. Page size shall be 8½ by 11 inches, including charts, maps, and drawings. Margins should be standard 1-inch margins.

Oversized pages will not be accepted.

mailto:SHA-DRO-FAFOA@usbr.gov

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

D.2.2. Application Content The application must include the following elements to be considered complete:

• Mandatory Federal Forms 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)

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 15 pages) o Executive summary o Project location o 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

• Official resolution

It is highly recommended that application packages be structured in the order identified above.

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.

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.

D.2.2.2. Title Page Provide a brief, informative, and descriptive title for the proposed work that indicates the nature of the project. Include the name and address of the applicant, and the name and address, email address, and telephone of the project manager.

D.2.2.3. Table of Contents List all major sections of the proposal in the table of contents.

D.2.2.4. Technical Proposal and Evaluation Criteria The technical proposal and evaluation criteria (15 pages maximum) include:

(1) Executive summary

(2) Project location

(3) Project description

(4) Evaluation criteria

Executive Summary The executive summary should include:

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

• Please indicate whether you are a Category A applicant or a Category B applicant. If you are a Category B applicant, please briefly explain how you are acting in partnership with a Category A partner. Note: If you are a Category B applicant, you must include a letter from the Category A partner confirming that they are partnering with you and agree to the submittal and content of the proposal (see Section C.1. Eligible Applicants for additional information).

• A one paragraph project summary that provides the location of the project, a brief description of the work that will be carried out, any partners involved, expected benefits and how those benefits relate to the water management issues you plan to address. This information will be used to create a summary of your project for Reclamation’s website if the project is selected for funding.

Example: The Newton Water Users Association, located in northern Utah, will upgrade the Jones Pipeline from 1.1 miles of transit pipe to high density polyethylene or polyynyl chloride pipe. The project will also upgrade meters and isolation valves at 14 or the 28 customer turnouts along the Jones Pipeline. The upgrade will reduce seepage losses and enable the Association and stakeholders to better manage the water supply. The project will also make the Jones Pipeline compatible with the recently pressurized main canal and will enable agricultural customers to make future on-farm irrigation improvements. The project meets the goals of the Association’s Water Management and Conservation Plan in 2015.

• State the length of time and estimated completion date for the proposed project including the construction start date (month/year). Note: Proposed projects shall not have a construction start date that is prior to January 31, 2022, for FY 2021 funding. See Section C.3.3. Construction Start Date Restrictions for additional information.

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

Project Location Provide detailed 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}.

Project Description Provide a more comprehensive description of the technical aspects of your project, including the work to be accomplished and the approach to complete the work. This description should provide detailed information about the project including materials and equipment and the work to be conducted to complete the project. This section provides an opportunity for the applicant to provide a clear description of the technical nature of the project and to address any aspect of the project that reviewers may need additional information to understand.

Please do not include your project schedule and milestones here; that information is requested in response to the Readiness to Proceed criterion below. In addition, please avoid discussion of the benefits of the project, which are also requested in response to evaluation criteria. This section is solely intended to provide an understanding of the technical aspects of the project.

Please note, if the work for which you are requesting funding is a phase of a larger project, please only describe the work that is reflected in the budget and exclude description of other activities or components of the overall project.

Evaluation Criteria 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.

(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.)

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

Project costs for environmental and cultural compliance and engineering/design that were incurred or are anticipated to be incurred prior to award should be included in the proposed project budget.

If the proposed project is selected, the awarding Reclamation Grants Officer will review the proposed pre-award costs to determine if they are consistent with program objectives and are allowable in accordance with the authorizing legislation. Proposed pre-award costs must also be compliant with all applicable administrative and cost principles criteria established in 2 CFR Part 200, available at www.ecfr.gov, and all other requirements of this NOFO. In no case will costs incurred prior to July 1, 2020, be considered for inclusion in the proposed project budget.

Note: Proposed projects shall not have a construction start date that is prior to January 31, 2022. See Section C.3.3. Construction Start Date Restrictions for additional information.

Please note that the costs for preparing and submitting an application in response to this NOFO, including the development of data necessary to support the proposal, are not eligible project costs under this NOFO and must not be included in the project budget. In addition, budget proposals must not include costs for the purchase of water or land, or to secure an easement other than a construction easement. These costs are not eligible project costs under this NOFO.

Funding Plan and Letters of Commitment Describe how the non-Federal share of project costs will be obtained. Reclamation will use this information in making a determination of financial capability.

Project funding provided by a source other than the applicant shall be supported with letters of commitment from these additional sources. Letters of commitment shall identify the following elements:

• The amount of funding commitment

• The date the funds will be available to the applicant

• Any time constraints on the availability of funds

• Any other contingencies associated with the funding commitment

Commitment letters from third-party funding sources should be submitted with your application. If commitment letters are not available at the time of the application submission, please provide a timeline for submission of all commitment letters. Cost-share funding from sources outside the applicant’s organization (e.g., loans or State grants), should be secured and available to the applicant prior to award.

Reclamation will not make funds available for an award under this NOFO until the recipient has secured the non-Federal cost-share. Reclamation will execute a financial assistance agreement once non-Federal funding has been secured or Reclamation determines that there is sufficient evidence and likelihood that non-Federal funds will be available to the applicant subsequent to executing the agreement.

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

• Any monetary contributions by the applicant towards the cost-share requirement and source of funds (e.g., reserve account, tax revenue, and/or assessments)

• Any costs that will be contributed by the applicant

• Any third-party in-kind costs (i.e., goods and services provided by a third party)

• Any cash requested or received from other non-Federal entities

• Any pending funding requests (i.e. grants or loans) that have not yet been approved and explain how the project will be affected if such funding is denied

In addition, please identify whether the budget proposal includes any project costs that have been or may be incurred prior to award. For each cost, describe:

• The project expenditure and amount

• The date of cost incurrence

• How the expenditure benefits the project

Budget Proposal The total project cost (Total Project Cost), is the sum of all allowable items of costs, including all required cost sharing and voluntary committed cost sharing, including third-party contributions, that are necessary to complete the project (Table 1). Note: The budget proposal must include the cost of all equipment, materials and supplies, and labor or contractual costs to complete the project.

Applicants must include the costs of all equipment, materials and supplies, and labor required to complete the project in the budget proposal (Table 2).

Table 1.—Total Project Cost Table

SOURCE AMOUNT

Costs to be reimbursed with the requested Federal funding $

Costs to be paid by the applicant $

Value of third-party contributions $

TOTAL PROJECT COST $

Table 2.—Sample Budget Proposal Format

BUDGET ITEM DESCRIPTION COMPUTATION Quantity Type

TOTAL

COST $/Unit Quantity

Salaries and Wages Employee 1 $ Employee 2 $ Employee 3 $ Fringe Benefits Full-Time Employees $

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 $

The budget proposal should include detailed information on the categories listed on the next page and must clearly identify all cost items, including those that will be contributed as non-Federal cost share by the applicant (required and voluntary), third-party in-kind contributions, and those that will be covered using the funding requested from Reclamation, including any requested pre-award costs.

Unit costs must be provided for all budget items including the cost of services or other work to be provided by consultants and contractors. Applicants are strongly encouraged to review the procurement standards for Federal awards found at 2 CFR §200.317 through §200.326 before developing their budget proposal.

It is also strongly advised that applicants use the budget proposal format shown below in 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. It is not necessary to include separate columns indicating which cost is being contributed as non-Federal cost share or which costs will be reimbursed with Federal funds.

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 application are not elig ible project costs and should not be included in the budget proposal (2 CFR §200.460).

Budget Narrative Submission of a budget narrative is mandatory. An award will not be made to any applicant who fails to fully disclose this information. The budget narrative provides a discussion of, or explanation for, items included in the budget proposal. The types of information to describe in the narrative include, but are not limited to, those listed in the following subsections. Costs, including the valuation of third-party in-kind contributions, must comply with the applicable cost principles contained in 2 CFR Part §200, available at the Electronic Code of Federal Regulations (www.ecfr.gov).

Salaries and Wages Indicate the project manager and other key personnel by name and title. The project manager must be an employee or board member of the applicant. Other personnel should be indicated by title alone. For all positions, indicate salaries and wages, estimated hours or percent of time, and rate of compensation. The labor rates must identify the direct labor rate separate from the fringe rate or fringe cost for each position. All labor estimates must be allocated to specific tasks as outlined in the applicant’s technical project description. Labor rates and proposed hours shall be displayed for each task.

The budget proposal and narrative should include estimated hours for compliance with reporting requirements, including the final financial and performance reports. Please see Section F.3. Reporting Requirements and Distribution 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.

Within the budget narrative, please provide a certification that the labor rates included in the budget proposal represent the actual labor rates of the identified personnel and are consistently applied to Federal and non-Federal activities. If the proposal is selected for award and the awarding Grants Officer determines that the provided rates fall within Bureau of Labor Statistic averages for personnel with similar job descriptions, no further documentation for this item of cost shall be requested during budget negotiations.

Fringe Benefits Identify the rates/amounts, what costs are included in this category, and the basis of the rate computations. Federally approved rate agreements are acceptable for compliance with this item.

Travel Travel related expenses are not eligible for reimbursement under this NOFO and should not be included within the proposed budget.

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 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.

If the proposal is selected for award and the awarding Grants Officer determines that the proposed rates fall within those outlined within the USACE publication, no further documentation for this item of cost shall be requested during budget negotiations.

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 consultants or contractors, including a breakdown of all tasks to be completed, and a detailed budget estimate of time, rates, supplies, and materials that will be required for each task. For each proposed contract, identify the procurement method that http://www.publications.usace.army.mil/USACE-Publications/Engineer-Pamphlets/u43545q/313131302D312D38 http://www.publications.usace.army.mil/USACE-Publications/Engineer-Pamphlets/u43545q/313131302D312D38 will be used to select the consultant or contractor and the basis for selection. Please note that all procurements with an anticipated aggregate value that exceeds the Simplified Acquisition Threshold (currently $10,000) must use a competitive procurement method (see 2 CFR §200.320 – Methods of procurement to be followed). Only contracts for architectural/engineering services can be awarded using a qualifications-based procurement method. If a qualifications-based procurement method is used, profit must be negotiated as a separate element of the contract price. See 2 CFR §200.317 through §200.326 for additional information regarding procurements, including required contract content.

If the proposal is selected for award and the awarding Grants Officer determines that the contractual engineering services costs for design engineering and/or construction management costs within the budget proposal do not exceed 8 percent of total project construction costs, then no further documentation for this item of cost shall be requested during budget negotiations.

Third-Party In-Kind Contributions Identify all work that will be accomplished by third-party contributors, including a breakdown of all tasks to be completed, and a detailed budget estimate of time, rates, supplies, and materials that will be required for each task. Third-party in-kind contributions, including contracts, must comply with all applicable administrative and cost principles criteria, established in 2 CFR Part 200, available at www.ecfr.gov, and all other requirements of this NOFO.

Environmental and Regulatory Compliance Costs Prior to awarding financial assistance, Reclamation must first ensure compliance with Federal environmental and cultural resources laws and other regulations (“environmental compliance”).

Every project funded under this program will have environmental compliance activities undertaken by Reclamation and the recipient.

Depending on the potential impacts of the project, Reclamation may be able to complete its compliance activities without additional cost to the recipient. Where environmental or cultural resources compliance requires significant participation by Reclamation, costs incurred by Reclamation will be added as a line item to the budget during development of the financial assistance agreement and cost shared accordingly (i.e., withheld from the Federal award amount). Any costs to the recipient associated with compliance will be identified during the process of developing a final project budget for inclusion in the financial assistance agreement.

Other Expenses Any other expenses not included in the above categories shall be listed in this category, along with a description of the item and why it is necessary. No profit or fee will be allowed.

Indirect Costs Indirect costs are costs incurred by the applicant for a common or joint purpose that benefit more than one activity of the organization and are not readily assignable to the activities specifically benefitted without undue effort. Costs that are normally treated as indirect costs include, but are not limited to, administrative salaries and fringe benefits associated with overall financial and organizational administration, operation and maintenance costs for facilities and equipment, and payroll and procurement services.

If indirect costs will be incurred, identify the proposed rate, cost base, and proposed amount for allowable…