oppBOR-DO-18-F007-cfda15.514-cidBOR-DO-18-F007-instructions.pdf

Funding Opportunity Announcement No. BOR-DO-18-F007

WaterSMART Drought Response Program:

Drought Contingency Planning Grants for Fiscal Year 2018

U.S. Department of the Interior Bureau of Reclamation Policy and Administration Denver, Colorado November 2017

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

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

Administration Funding Opportunity Title: Drought Response Program: Drought Contingency Planning

Grants for Fiscal Year 2018 Announcement Type: Funding Opportunity Announcement (FOA) Funding Opportunity Number:

BOR-DO-18-F007

Catalog of Federal Domestic Assistance (CFDA) Number:

15.514

Dates:

(See FOA Sec. D.4)

Application due date:

Wednesday February 7, 2018 at 4:00 p.m. Mountain Standard Time

Eligible Applicants:

(See FOA Sec. C.1)

States, Indian tribes, irrigation districts, water districts, or other organizations with water or power delivery authority located in the Reclamation States or Hawaii.

Recipient Cost Share:

(See FOA Sec. C.2)

In general, 50 percent or more of total project costs. In exceptional circumstances, a reduction or waiver of the non- Federal cost share may be considered.

Federal Funding Amount:

(See FOA Sec. B)

Up to $200,000 per agreement for a project that can be completed within 2 years.

Estimated Number of Agreements to be Awarded:

(See FOA Sec. B)

Approximately 3-5 agreements

Intergovernmental Review:

(See FOA Sec. D.5)

This FOA is subject to Executive Order 12372, “Intergovernmental Review of Federal Programs.” A list of states that have elected to participate in the intergovernmental review process is at www.whitehouse.gov/omb/grants_spoc.

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Application Checklist

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

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

Mandatory Federal Forms:

Application for Federal Financial Assistance

Budget Information

Assurances

Disclosure of Lobbying Activities

See Sec. D.2.2.1 SF-424, SF-424A, SF-424B, SF-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 17 *

Table of contents See Sec. D.2.2.3 Page 17 *

Technical proposal:

Executive summary

Background data

Project description

Evaluation criteria

See Sec. D.2.2.4

See Sec. D.2.2.4

See Sec. D.2.2.4

See Sec. E.1

Project Budget:

Funding plan

Budget proposal

Budget narrative

See Sec. D.2.2.5

See Sec. D.2.2.5

See Sec. D.2.2.5

Required permits or approvals

See Sec. D.2.2.6 Page 25 *

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

Official Resolutions See Sec. D.2.2.9 Page 25 **

Unique Entity Identifier and System for Award Management

See Sec. D.3 Page 26 ***

* Submit materials with your application.

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

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

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

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Acronyms and Abbreviations

Acronyms and Abbreviations

ASAP Automated Standard Application for Payments ARC Application Review Committee CFDA Catalog of Federal Domestic Assistance CFR Code of Federal Regulations Department U.S. Department of the Interior DUNS Data Universal Number System FAPIIS Federal Award Performance Integrity Information System FEMA Federal Emergency Management Agency FOIA Freedom of Information Act Framework Drought Response Program Framework FY fiscal year GO Grants Officer MST Mountain Standard Time NDMC National Drought Mitigation Center NIDIS National Integrated Drought Information System NOAA National Oceanic and Atmospheric Administration P.L. Public Law Project Drought Contingency Plan Reclamation Bureau of Reclamation SAM System of Award Management SPOC Single Point of Contact Task Force Drought Planning Task Force U.S.C. United States Code WaterSMART Sustain and Manage America’s Resources for Tomorrow v

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Contents vii

Contents

Page Section A. Funding Opportunity Description

A.1. Program Information A.2. Objective of this Funding Opportunity Announcement A.3. Statutory Authority A.4. Other Related Funding Opportunities

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

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

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

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

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

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

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Section A. Funding Opportunity Description

Section A. Funding Opportunity Description

A.1. Program Information The 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 the future. 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.

Working together with our stakeholders, WaterSMART provides support for the Department of the Interior’s priorities, including creating a legacy of conservation stewardship, sustainably developing our energy and natural resources, modernizing our infrastructure through public-private partnerships, and restoring trust with local communities by improving relationships and communication with states, tribes, local governments, communities, landowners and water users.

Reclamation’s WaterSMART Drought Response Program supports a proactive approach to drought by providing financial assistance to water managers to:

develop and update comprehensive drought plans (Drought Contingency Planning), and implement projects that will build long-term resiliency to drought (Drought Resiliency Projects). The Drought Response Program specifically contributes to the Department of the Interior’s priorities to: create a legacy of conservation stewardship, modernize our infrastructure, and restore trust with local communities by providing funding to states, tribes, and local governments to prepare for and address drought in advance of a crisis.

This Funding Opportunity Announcement (FOA) supports the development and update of drought contingency plans that will build long-term resiliency to drought.

For further information on the Drought Response Program, including information on funding for Drought Resiliency Projects, please see www.usbr.gov/drought.

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

A.2. Objective of this Funding Opportunity Announcement

The objective of this FOA is to invite states, Indian tribes, irrigation districts, water districts, and other organizations with water or power delivery authority to leverage their money and resources by cost sharing Drought Contingency Planning with Reclamation to build resilience to drought in advance of a crisis.

Applicants under this FOA may request funding to develop a new drought plan or http://www.usbr.gov/drought/ http://www.usbr.gov/WaterSMART/ to update an existing drought plan (collectively, Drought Contingency Plans).

Applicants may also request technical assistance from Reclamation for the development of elements of the Drought Contingency Plan (Project).

It is a well-established principle that planning for drought, in advance of a crisis, is far more cost effective than emergency response. As stated on the National Drought Mitigation Center (NDMC) website at drought.unl.edu:

One frequently cited estimate from FEMA1 is that “mitigation” – taking steps ahead of time to prevent known impacts from a natural disaster – saves $4 for every $1 expended. Planning ahead is generally seen as more efficient and more effective than measures taken in crisis mode. Drought researchers have found that after-the-fact assistance to farmers, for example, is expensive and doesn’t necessarily reach the right people.

Through this FOA, Reclamation seeks to support collaborative planning efforts that use a proactive approach to build long-term resiliency to drought. Drought Contingency Plans developed under this program are required to include participation by multiple stakeholders to encourage more comprehensive plans that address issues important to different sectors (e.g., agricultural, municipal, industrial, and environmental). Participation by multiple stakeholders will also broaden support for mitigation and response actions identified in the plans. In addition, Drought Contingency Plans developed under this FOA must include consideration of uncertainties related to changing hydrologic conditions and the potential impacts to water supplies, in order to support long-term resiliency to drought.

Given current budget constraints and competing priorities for limited funding, Reclamation does not expect to submit recommendations to Congress for authorizing legislation or appropriations for construction following the completion of a Drought Contingency Plan. However, potential projects identified in a Drought Contingency Plan may be considered for funding under the Drought Resiliency Projects FOA, so long as the project meets all program and eligibility requirements.

In accordance with Section 204 of the Reclamation States Emergency Drought Relief Act of 1991, a copy of plans completed by states and tribes under this FOA will be submitted to Congress.

A.3. Statutory Authority This FOA is issued under the authority of Title I of the Reclamation States Emergency Drought Relief Act of 1991 (Public Law [P.L.] 102-250, 43 United States Code [U.S.C.] Section 2201-2214), as amended.

1 Federal Emergency Management Agency (FEMA).

http://drought.unl.edu/

Section A. Funding Opportunity Description

A.4. Other Related Funding Opportunities A separate FOA for Drought Resiliency Projects will be posted on Grants.gov, (www.grants.gov), concurrently with this FOA. The Drought Resiliency Projects FOA includes financial assistance provided under the Drought Response Program on a 50/50 cost share basis, to complete projects that will build resiliency to drought by:

• Increasing the reliability of water supplies

• Improving water management

• Providing benefits for fish and wildlife and the environment http://(www.grants.gov/ http:Grants.gov

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Section B. Award Information

Section B. Award Information B.1. Total Project Funding The President’s fiscal year (FY) 2018 budget request includes $3.25 million proposed for the Drought Response Program. The amount of funding available for awards under this FOA will depend on final FY 2018 appropriations and the demand for funding under this and other elements of the Drought Response Program. This FOA will be canceled if FY 2018 appropriations are insufficient to support new awards.

Applications submitted under this FOA may also be considered if additional funding becomes available in FY 2018 or thereafter.

B.2. Project Funding Limitations The Federal share (Reclamation’s share in addition to any other sources of Federal funding) for any Project generally shall not exceed 50 percent of the total costs.

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

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

B.3. Assistance Instrument Awards will be made through cooperative agreements. Recipients should expect Reclamation to have substantial involvement in the completion of the Project.

Substantial involvement by Reclamation will include:

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

• Oversight will include review, input, and approval at key interim stages of the plan, including input regarding the composition of the drought planning task force, review and acceptance of detailed work plans, and review of the Drought Contingency Plan for conformance to program goals and objectives.

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.

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Section C. Eligibility Information

C.1. Eligible Applicants An eligible applicant is a state, tribe, irrigation district, water district, or other organization with water or power delivery authority.

Applicants must also be located in the Western United States 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, and Hawaii.

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

• Federal governmental entities

• Institutions of higher education

• Individuals

C.2. Cost Sharing Requirements In general, applicants must be capable of cost sharing 50 percent or more of the total costs of the Drought Contingency Plan (also referred to as Project Costs).

Applicants with sufficient resources may choose to contribute a non-Federal cost share that is greater than 50 percent in order to develop more complex plans. Cost sharing may be made through cash or in-kind contributions or donations from the applicant or third-party partners. Cost share funding from sources outside the applicant’s organization (e.g., loans or state grants) should be secured and available to the applicant prior to award. Please see Section D.2.2.5. Funding Plan and Letters of Commitment and D.2.2.9. Official Resolution for more information regarding the documentation required to verify commitments to meet cost sharing requirements.

In exceptional circumstances and upon request of the applicant, Reclamation may reduce or waive the non-Federal cost share requirement, if an overwhelming Federal interest and a significant financial need are identified. The criteria used by Reclamation to evaluate requests to reduce or waive the non-Federal cost share requirement are set forth below. In general, the total Federal share provided through a cooperative financial assistance agreement under this FOA is not anticipated to exceed $200,000, even in those cases where a cost share reduction or waiver is approved. Applicants requesting a reduction or waiver of the non- Federal cost share must state their request in their proposal and include the required information demonstrating support for the existence of an overwhelming Federal interest and financial hardship, as indicated in Section C.2.3. Request for a Cost Share Reduction or Waiver. The documentation will not count towards the page total limitations set forth in Section D.2.1. Application Format and Length.

C.2.1. Cost Share Regulations All cost-share contributions must meet the applicable administrative and cost principles criteria established in 2 Code of Federal Regulations (CFR) Part 200, available at www.ecfr.gov.

C.2.2. Donations and In-Kind Contributions Donations and in-kind contributions constitute the value of noncash contributions that benefit a federally assisted project. These contributions may be in the form of real property, equipment, supplies, and other expendable property, as well as the value of goods and services directly benefiting and specifically identifiable to the project or program. The cost or value of donations and in-kind contributions that have been or will be relied on to satisfy a cost-sharing or matching requirement for another Federal financial assistance agreement, a Federal procurement contract, or any other award of Federal funds may not be relied on to satisfy the cost-share requirement for an award under this FOA. The exception to this requirement is where the Federal statute authorizing a program specifically provides that Federal funds made available for such program can be applied to matching or cost sharing requirements of other Federal programs, such as awards to tribal organizations under P.L. 93-638, as amended. Applicants should refer to 2 CFR §200.434 for regulations regarding the valuation of donations and in-kind contributions, available at www.ecfr.gov.

C.2.3. Request for a Cost Share Reduction or Waiver Reclamation may reduce or waive the non-Federal cost share requirement upon request by the applicant, if an overwhelming Federal interest and a significant financial need are identified. If the funding plan identifies less than 50 percent non-Federal cost share match, please include the request for a cost share reduction or waiver in the proposal. The request must include information and documentation addressing the factors set forth immediately below.

Reclamation will use the following factors when considering whether to reduce or waive the non-Federal cost share requirement. Please address each of the following criteria and provide an explanation for the applicability of each criterion with supporting documentation:

• Overwhelming Federal Interest. Reclamation will make a determination of whether an overwhelming Federal interest exists based on factors such as the programs and policies of the President and the Secretary of the Department of the Interior.

• Financial Hardship. In determining whether a significant financial need exists the following factors will be considered:

http://www.ecfr.gov/ o The population-weighted m edian household income within the study area and the state based on the latest available data from the U.S. Census Bureau’s American Community Survey (www.census.gov/acs/www/data/data-tables-and-tools/) o Family poverty level for the state as estimated by guidelines published annually by the U.S. Department of Health and Human Services (aspe.hhs.gov/poverty-guidelines) o The population-weighted average unemployment rate within the study area based on the latest available data from the U.S. Census Bureau’s American Community Survey ( www.census.gov/acs/www/data/data-tables-and-tools/) o A current financial statement of the applicant and a statement that the applicant does not possess sufficient funds or assets to pay for all or part of the required cost share

For more information regarding cost share waivers, please contact the Program Coordinator identified in Section G. Agency Contacts.

C.3. Eligible Projects C.3.1. Eligible Projects Proposals for the development of a new Drought Contingency Plan (Task A), or an update to an existing plan (Task B), are eligible for funding under this FOA.

Drought Contingency Plans funded under this FOA must address each of the six elements described below in Section C.4.1. Required Elements to be included in New Plans or Plan Updates. Plan updates may focus on only those elements that have not yet been developed in the existing plan, or that require further development or updating; however, the updated Drought Contingency Plan must address each of the six required elements. Applicants awarded funding under this FOA must also meet the required steps for conducting a plan or plan update, also described in Section C.4.2. Required Drought Contingency Planning Steps.

Further explanation and guidance to support the development of each plan element is provided in the Drought Response Program Framework (Framework), available at www.usbr.gov/drought.

C.3.2. Ineligible Projects Proposals for the development of planning studies, other than Drought Contingency Plans, are not eligible for funding under this FOA. This includes proposals for the development of appraisal investigations, feasibility studies, special studies, Basin Studies, or studies authorized under the Title XVI Water Recycling and Reuse Program, through P.L.102-575, as amended (43 U.S.C. 390h et seq.), or under the Rural Water Program, pursuant to the Rural Water Supply Act of 2006, P.L.109-451 (www.usbr.gov/ruralwater).

http://www.census.gov/acs/www/data/data-tables-and-tools/ https://aspe.hhs.gov/poverty-guidelines http://www.census.gov/acs/www/data/data-tables-and-tools/ http://www.census.gov/acs/www/data/data-tables-and-tools/ http://www.usbr.gov/ruralwater

Proposals for development of one or more elements of a drought contingency plan that would not result in a completed plan within the timeframe listed in this FOA are not eligible for funding consideration.

C.3.3. Length of Planning Process Projects funded under this FOA should be completed within two years of award, including the required Reclamation review of the Drought Contingency Plan.

C.4. Project Requirements Projects funded under this FOA must meet the requirements of the Drought Response Program Framework and Directives and Standards. These requirements include addressing the six elements of a Drought Contingency Plan and several required procedural steps, both of which are described below. In developing these requirements, Reclamation relied on proven approaches and common practices used in drought planning. Guidance on potential approaches for meeting the program requirements is provided in more detail in the Framework, available at www.usbr.gov/drought.

C.4.1. Required Elements to be Included in New Plans or Plan Updates

All new Drought Contingency Plans (New Plans) must address each of the six elements described immediately below. Updates to an existing drought plan (Plan Updates) may focus on only those elements that have not yet been developed in the plan, or that require further development or updating; however completed Plan Updates must address each of these six elements. Reclamation does not prescribe any one approach to developing and addressing these elements in a New Plan or Plan Update. However, further explanation and guidance to support the development of each element is provided in the Framework, available at www.usbr.gov/drought.

The six required elements for Drought Contingency Plans developed or updated under this FOA are as follows:

1. Drought Monitoring.—The drought contingency plan must establish a process for monitoring near and long-term water availability, and a framework for predicting the probability of future droughts or confirming an existing drought. This includes a process for the collection, analysis, and dissemination of water availability and other drought-related data (e.g., precipitation, temperature, and streamflow levels, among other indicators). The drought contingency plan must also explain how this data will be used to predict or confirm droughts, including identifying metrics and triggers (e.g., reservoir level reached at a specific reservoir and use of specific drought indices) that will be used to define stages of drought, to trigger mitigation or response actions, and to define the different stages or levels of severity of drought.

2. Vulnerability Assessment.—The drought contingency plan must include a vulnerability assessment evaluating the risks and impacts of drought. A vulnerability assessment is an assessment of the risks to critical resources within the planning area and the factors contributing to those risks.

Assessments will drive the development of potential mitigation and response actions. The assessment must be based on a range of future conditions, including uncertainties related to changing hydrologic conditions. Discretionary guidance on incorporating hydrologic risks and uncertainties into drought contingency plans is provided as an appendix to the Drought Response Program Framework. Reclamation supports the use of existing information to meet this requirement, where available, including information from Reclamation’s WaterSMART Basin Study Program, and other non-Reclamation sources.

3. Mitigation Actions.—The drought contingency plan must identify, evaluate, and prioritize mitigation actions and activities that will build long-term resiliency to drought and that will mitigate the risks posed by drought. Mitigation measures are actions, programs, and strategies implemented before drought to address potential risks and impacts. These actions are outside of regular water management activities and are intended to decrease sector vulnerabilities and reduce the need for response actions.

4. Response Actions.—The drought contingency plan must identify, evaluate, and prioritize response actions and activities that can be implemented during a drought to mitigate the impacts. Response actions are different than mitigation measures in that they are specific actions that are triggered during specific stages of drought to manage the limited supply and decrease the severity of immediate impacts. Response actions can be quickly implemented and provide expeditious benefits.

5. Operational and Administrative Framework.—The drought contingency plan must identify who is responsible for undertaking the actions necessary to implement each element of the drought contingency plan, including communicating with the public about those actions. At a minimum, the operational and administrative framework must identify roles, responsibilities, and procedures necessary to:

• Conduct drought monitoring

• Initiate response actions, including emergency response actions

• Initiate mitigation actions

• Update the plan

The operational and administrative framework may be integrated into each element of the plan, or documented in a specific section of the plan.

6. Plan Development and Update Process.—The drought contingency plan must describe the process that was undertaken to develop the plan, including how stakeholders were engaged and how input was considered.

In addition, the drought contingency plan must also include a process and schedule for monitoring, evaluating, and updating the drought contingency plan.

These six required elements of a Drought Contingency Plan are based on the 10- Step Drought Planning Process developed by the NDMC,2 which has been applied by states, tribes, and countries around the world. Building on this approach, Reclamation has added a requirement that Drought Contingency Plans incorporate an analysis of future hydrologic conditions as part of conducting a Vulnerability Assessment (see element 2 of this section). Recipients of grant funding may use existing information to meet this requirement, where available, including information from Reclamation’s WaterSMART Basin Studies or Baseline Assessments, www.usbr.gov/WaterSMART/wcra, and other non- Reclamation sources.

Reclamation recognizes that there may be complementary activities in developing a New Plan or Plan Update (e.g., data gathering and developing tools and dashboards) that enhance and inform the planning process. In general, Reclamation considers these activities to be acceptable as part of the overall plan development, or plan update. However, the applicant must demonstrate the activity informs at least one of the six required elements of the Drought Contingency Plan. Activities such as piloting, or initial implementation of mitigation or response actions are not considered allowable as part of the planning process.

C.4.2. Required Drought Contingency Planning Steps Once the applicant has been informed that a proposal submitted under this FOA has been selected for funding, Reclamation will enter into a financial assistance agreement with the applicant, documenting the requirements and conditions related to the provision of financial assistance. The financial assistance agreement will require the following Drought Contingency Planning steps:

• Establishment of a Drought Planning Task Force.—The non-Federal entity(s) identified to receive funding through the proposal selection process will be referred to as the planning lead. At the outset of the planning process, the planning lead will develop a Drought Planning Task Force (Task Force) made up of interested stakeholders within the planning area that want to actively participate in developing the Drought Contingency Plan. The Task Force must have diverse membership

2 The 10-Step Drought Planning Process was published by NDMC founding director Dr. Donald A. Wilhite in 1990 and updated in 2005 as “Drought Preparedness Planning: Building Institutional Capacity,” by Wilhite, Michael J. Hayes, and Cody Knutson, published as a chapter in Drought and Water Crises: Science, Technology, and Management Issues, edited by Wilhite (CRC Press 2005).

http://www.usbr.gov/WaterSMART/wcra representing multiple interests in the planning area. Outreach to a diverse set of stakeholders is also required but should not be substituted for diversity on the Task Force.

• Development of a Detailed Work Plan.—The detailed work plan will be developed by the planning lead in consultation with Reclamation and will describe in detail how the various tasks included in developing or updating the plan will be accomplished, along with a detailed work schedule, and the responsibilities of Reclamation (Reclamation will provide input on this element), the planning lead, the Task Force, and other interested stakeholders. The work plan must be submitted to Reclamation for review and acceptance before substantive work on the New Plan or Plan Update begins, and may be updated as conditions warrant.

• Development of a Communication and Outreach Plan.—As part of the detailed work plan, the planning partners must develop a communication and outreach plan. Explanation of how stakeholders and the public will be involved in the planning process, including providing input on the drafting of the New Plan or Plan Update and providing feedback to the Task Force.

Participation could occur through public meetings, webinars, public notices, and other forums or approaches.

Note, in responding to the evaluation criteria, Section E.1. Evaluation Criteria, applicants are requested to identify in their proposal an initial list of stakeholders who will be involved in support of the planning process, a plan for completing the proposed Drought Contingency Plan within the two-year time frame, and a plan for stakeholder involvement. This information will form the starting point for the establishment of a Task Force, development of a detailed work plan, and development of a communication and outreach plan if the proposal is funded.

The program requirements described here are intended to increase the transparency of the planning process, encourage collaboration and participation by interested stakeholders, and ensure that the Drought Contingency Plan will meet program requirements upon completion. Collaboration with multiple stakeholders representing diverse interests in water resources is required for Drought Contingency Plans developed under this program. For further guidance on approaches for meeting the program requirements, please see the Framework, available at www.usbr.gov/drought.

http://www.usbr.gov/drought

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Section D. Application and Submission Information

Section D. Application and Submission Information

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

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

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

By e-mail: kconnolly@usbr.gov

By telephone: 303-445-2221

D.2. Content and Form of Application Submission All applications must conform to the requirements set forth below.

D.2.1. Application Format and Length The total application package shall be no more than 50 consecutively numbered pages. 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 8½ by 11 inches, including charts, maps, and drawings. Oversized pages will not be accepted. The technical proposal and evaluation criteria section shall be limited to a maximum of 20 pages. The SF-424 forms, official resolution, letters of support, existing drought contingency plans, and documentation associated with a request for a cost share reduction or waiver will not be considered in the total page count.

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

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

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

These forms may be obtained at www.grants.gov/web/grants/forms/sf-424-family.html

• Title page

• Table of contents

• Technical proposal and evaluation criteria (limited to 20 pages) o Executive summary o Background data o Project description o Evaluation criteria

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

• Required permits or approvals

• Existing drought contingency plan (if applicable) (will not count toward the page limitation)

• Letters of support for the Drought Contingency Plan (will not count toward the page limitation)

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

• Request for cost share reduction or waiver and supporting documentation (if applicable) (will not count toward the page limitation)

D.2.2.1. Mandatory Federal Forms

The application must include the following standard Federal forms:

SF-424 Application for Federal Assistance

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

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

SF-424 Budget Information

A fully completed SF-424A Budget Information for Non-Construction Programs, or an SF-424C Budget Information for 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 Section G. Agency Contacts. Failure to submit a properly signed SF-424B or SF-424D may result in the elimination of the application from further consideration.

SF-LLL Disclosure of Lobbying Activities

A fully completed and signed SF-LLL, Disclosure of Lobbying Activities is required is required if the applicant has made or agreed to make payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action.

D.2.2.2. Title Page

Provide a brief, informative, and descriptive title for the proposed work that indicates the nature of the project (i.e., the Drought Contingency Plan). Include the name and address of the applicant, and the name and address, e-mail address, and telephone number 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 (20 pages maximum) includes:

(1) Executive summary

(2) Background data

(3) Project description

(4) Evaluation criteria

Executive Summary

The executive summary should include:

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

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

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

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

Background Data

Provide specific information on the proposed planning area including a map showing the geographic location. For example, [project name] is located in [county and state] approximately [distance] miles [direction, e.g., northeast] of [nearest town]. Please also provide location information for the planning area (i.e., outline of the area) in one of the following formats:

1. Shapefile (.shp)

2. KMZ/KML (.kmz or .kml) aka Google Earth File

3. AutoCAD (.dwg)

4. PDF map (.pdf)

Provide a general description of the area to be addressed in the proposed Drought Contingency Plan, including a description of the source(s) of water supply, the water rights involved, the current water uses (e.g., agricultural, municipal, domestic, industrial, environmental and recreation), the number of water users served, and the current and projected water demand, if available. If water is primarily used for irrigation, describe major crops and total acres served.

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

Project Description

The Project description should describe the work in detail including the specific activities to be accomplished. This description shall have sufficient detail to permit a comprehensive evaluation of the proposal. The Project description should clearly indicate if the proposal is for Task A (Develop Drought Contingency Plan) or Task B (Update Drought Contingency Plan). Proposals should address the requirements for conducting a drought contingency plan or plan update under the Drought Response Program, identified in Section C.4.

Project Requirements.

Evaluation Criteria

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

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

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

D.2.2.5. Project Budget

The project budget includes:

(1) Funding plan and letters of commitment

(2) Budget proposal

(3) Budget narrative

Funding Plan and Letters of Commitment

Describe how the non-Federal share of project costs will be obtained.

Reclamation will use this information in making a determination of financial capability.

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

• The amount of funding commitment

• The date the funds will be available to the applicant

• Any time constraints on the availability of funds

• Any other contingencies associated with the funding commitment

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

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

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

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

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

o The project expenditure and amount o The date of cost incurrence o How the expenditure benefits the Project o Provide the identity and amount of funding to be provided by funding partners, as well as the required letters of commitment.

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

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

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

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

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

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

FUNDING SOURCES AMOUNT

Non Federal Entities

1.

2.

3.

Non-Federal Subtotal

Other Federal Entities

1.

2.

3.

Other Federal Subtotal

REQUESTED RECLAMATION FUNDING

Budget Proposal

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

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 $ Part-Time Employees $ Travel Trip 1 $ Trip 2 $

Table 2.—Sample Budget Proposal Format

BUDGET ITEM DESCRIPTION COMPUTATION Quantity Type

TOTAL

COST $/Unit Quantity

Trip 3 $ Equipment Item A $ Item B $ Item C $

Supplies and Materials Item A $ Item B $

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

TOTAL DIRECT COSTS $

Indirect Costs Type of rate percentage $base $

TOTAL ESTIMATED PROJECT COSTS $

Budget Narrative

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

Salaries and Wages

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

The budget proposal and narrative should include estimated hours for compliance with reporting requirements, including final project and evaluation. Please see Section F.3. Reporting – Requirements and Distribution for information on types and frequency of reports required.

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

Fringe Benefits

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

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

Travel

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

Equipment

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

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

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

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

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

Materials and Supplies

Itemize supplies by major category, unit price, quantity, and purpose, such as whether the items are needed for office use, research, or construction. Identify how these costs were estimated (i.e., quotes, past experience, engineering http://www.publications.usace.army.mil/USACE-Publications/Engineer-Pamphlets/u43545q/313131302D312D38 http://www.publications.usace.army.mil/USACE-Publications/Engineer-Pamphlets/u43545q/313131302D312D38 estimates, or other methodology). Note: If the materials/supplies will be furnished and installed under a construction contract, the equipment should be included in the construction contract cost estimate.

Contractual

Identify all work that will be accomplished by subrecipients, consultants, or contractors, including a breakdown of all tasks to be completed, and a detailed budget estimate of time, rates, supplies, and materials that will be required for each task. Identify how the budgeted costs for sub-recipients, consultants, or contractors were determined to be fair and reasonable. Note: If a sub-recipient, consultant, or contractor is proposed and approved at the time of award, no other approvals will be required. Any changes or additions will require a request for approval.

Other Expenses

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

Indirect Costs

Indirect costs that will be incurred during the development or construction of a Project, which will not otherwise be recovered, may be included as part of the applicant’s project budget. Show the proposed rate, cost base, and proposed amount for allowable indirect costs based on the applicable cost principles for the recipient’s organization. It is not acceptable to simply incorporate indirect rates within other direct cost line items.

If the applicant has never received a Federal…