oppBOR-DO-18-F010-cfda15.507-instructions.pdf

Funding Opportunity Announcement No. BOR-DO-18-F010

WaterSMART Grants:

Water Marketing Strategy Grants for Fiscal Year 2018

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

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

The mission of the Bureau of Reclamation is to manage, develop, and protect water and related resources in an environmentally and economically sound manner in the interest of the American public.

Synopsis

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

Administration

Funding Opportunity Title: WaterSMART Grants: Water Marketing Strategy Grants for Fiscal Year 2018

Announcement Type: Funding Opportunity Announcement (FOA)

Funding Opportunity Number:

BOR-DO-18-F010

Catalog of Federal Domestic Assistance (CFDA) Number:

15.507

Dates:

(See FOA Sec. D.4)

Application due date:

Tuesday, July 17, 2018, at 4:00 p.m. Mountain Daylight Time

(MDT)

Eligible Applicants:

(See FOA Sec. C.1)

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

Recipient Cost Share:

(See FOA Sec. C.2)

50 percent or more of total project costs.

Federal Funding Amount:

(See FOA Sec. B.1)

Funding Group I: Up to $200,000 for a project that can be completed within 2 years.

Funding Group II: Up to $400,000 for a project that can be completed within 3 years.

Estimated Number of Agreements to be Awarded:

(See FOA Sec. B.1)

Approximately 10-12 agreements

Estimated Amount of Funding Available for Award:

(See FOA Sec B.1)

Of the President’s fiscal year (FY) 2018 budget for WaterSMART Grants, approximately $3 million will be made available for this FOA. The final amount of funding available for award under this FOA will be determined once final FY 2018 appropriations have been made, and may vary depending on the demand for this and other WaterSMART Grants funding opportunities. Any awards are subject to a determination by Reclamation that FY 2018 appropriations are available and that awards can be made consistent with all program requirements.

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

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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 Mandatory Federal Forms:

Application for Federal Financial Assistance

Budget Information

Assurances

Required content See Sec. D.2.2.1.

Form or format SF-424, SF-424A, and SF-424B forms may be obtained at apply07.grants.gov/apply/FormLinks?family=

When to submit

Title page See Sec. D.2.2.2. Page 19 *

Table of contents See Sec. D.2.2.3. Page 19 *

Technical proposal:

Executive summary

Background data

Project description

Evaluation criteria

See Sec. D.2.2.4.

See Sec. E.1.

Environmental and cultural resources compliance

See Sec. D.2.2.5. Page 21

Required permits or approvalsSee Sec. D.2.2.6. Page 23 *

Project Budget:

Funding plan and letters of commitment

Budget proposal

Budget narrative

See Sec. D.2.2.7. Page 23

Existing Analysis Contributing to the Water Marketing Strategy (if applicable)

See Sec. D.2.2.8. Page 28

Letters of support See Sec. D.2.2.9. Page 28 *

Official Resolution See Sec. D.2.2.10. Page 29 **

Unique Entity Identifier and System for Award Management

See Sec. D.3. Page 29 ***

* 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://apply07.grants.gov/apply/FormLinks?family=15 http://apply07.grants.gov/apply/FormLinks?family=15

Acronyms and Abbreviations

Acronyms and Abbreviations ASAP Automated Standard Application for Payments ARC Application Review Committee CE Categorical Exclusion CEC Categorical Exclusion Checklist CFDA Catalog of Federal Domestic Assistance CFR Code of Federal Regulations CPA certified public accountant CWA Clean Water Act CWMP Cooperative Watershed Management Program DUNS Data Universal Number System EA Environmental Assessment EIS Environmental Impact Statement ESA Endangered Species Act FAPIIS Federal Award Performance Integrity Information System FOA Funding Opportunity Announcement FOIA Freedom of Information Act FONSI Finding of No Significant Impact FY fiscal year Interior U.S. Department of the Interior MDT Mountain Daylight Time NEPA National Environmental Policy Act NHPA National Historic Preservation Act NOAA National Oceanic and Atmospheric Administration OM&R operations, maintenance, and replacement P.L. Public Law Project Water Marketing Strategy Reclamation Bureau of Reclamation ROD Record of Decision SAM System of Award Management U.S. United States U.S.C. United States Code USFWS U.S. Fish and Wildlife Service WaterSMART Sustain and Manage America’s Resources for Tomorrow v

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. Reclamation Financial Assistance Management Contact G.2. Reclamation Program Coordinator Contact

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

Contents

Contents vii

Section A. Funding Opportunity Description

Section A. Funding Opportunity Description

A.1. Program Information Through WaterSMART, the Bureau of Reclamation (Reclamation) leverages Federal and non-Federal funding to work cooperatively with states, tribes, and local entities as they plan for and implement actions to increase water supply reliability through investments and attention to local water conflicts. Working together with our stakeholders, WaterSMART provides support for the Department of the Interior’s (Interior) priorities:

• Creating a conservation stewardship legacy

• Utilizing our natural resources

• Restoring trust with local communities

• Striking a regulatory balance

• Modernizing our infrastructure

Through the WaterSMART Water Marketing Strategy Grants, Reclamation provides cost-shared financial assistance to states, tribes, and local governments to develop water marketing strategies to establish or expand water markets or water marketing activities between willing participants, in compliance with state and Federal laws. Water Marketing Strategy Grants are a component of Reclamation’s WaterSMART Grants Program, which also includes Water and Energy Efficiency Grants and Small-Scale Water Efficiency Projects. For further information on the WaterSMART Grants Program, please see www.usbr.gov/ watersmart/grants.html.

This Funding Opportunity Announcement (FOA) supports collaborative planning efforts to develop water markets that will proactively address water supply reliability and increase water management flexibility. Water markets between willing buyers and sellers can be used to help water users meet demands efficiently in times of shortage, thereby helping to prevent water conflicts. By encouraging collaboration and input to the planning process from a range of stakeholders, this FOA will expand the lines of communication between Reclamation and local communities, and among the community stakeholders themselves, restoring community trust.

A.2. Objective of this Funding Opportunity Announcement

The objective of this FOA is to invite states, Indian tribes, irrigation districts, water districts, and other organizations with water or power delivery authority to leverage their money and resources by cost sharing with Reclamation to develop a water marketing strategy increase water supply reliability. Applicants under this http://www.usbr.gov/%E2%80%8Cwatersmart/grants.html http://www.usbr.gov/%E2%80%8Cwatersmart/grants.html

FOA may request funding to develop a water marketing strategy (Project) to establish or expand water markets or water marketing.

A “water marketing strategy” is a framework for implementation of water marketing activities. Development of a water marketing strategy may include:

(1) Outreach and partnership building;

(2) planning activities (e.g., hydrologic, economic, legal and other types of analysis);

(3) associated pilot activities integral to the development of a strategy - e.g., the movement of water on a pilot basis in compliance with applicable laws; and

(4) the development of a water marketing strategy document, describing the how water marketing activities will be implemented.

(See Section C.3. Eligible Projects for a complete description of eligible activities). Proposals will be selected on a competitive basis, using the evaluation criteria described in Section E.1. Evaluation Criteria. Note: The terms “Project” and “strategy” are used interchangeably and refer to the applicant’s proposed water marketing strategy.

For the purposes of this FOA, “water marketing” refers to water rights transactions (e.g., the voluntary lease, sale or exchange of water, or water rights), or voluntary agreements governing water rights, water use, or water management (e.g., non-diversion agreements, dry-year options, and agreements governing groundwater recharge and storage, etc.), undertaken in accordance with state and Federal laws, between willing participants.

Water marketing strategies that include participation by multiple stakeholders will be prioritized under this program to encourage more comprehensive plans that address issues important to different sectors (e.g., agricultural, municipal, commercial/industrial, tribal and environmental). As described in Section C.3.

Eligible Projects of this FOA, water marketing strategies may be scaled to meet the needs of the applicant and may build on work completed to date. Strategies that will provide significant benefits (such as meeting an important water supply need, meeting the needs of multiple sectors, or decreasing the likelihood of conflicts over water) will also be prioritized.

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 water marketing strategy. However, potential projects identified in a water marketing strategy may be considered for funding under one of several, competitive, WaterSMART funding opportunities, depending on the type of project, including Water and Energy Efficiency Grants, Small-Scale Water

Section A. Funding Opportunity Description

Efficiency Projects, and Drought Resiliency Project Grants, as long as the project meets all program and eligibility requirements.

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

A.4. Other Related Funding Opportunities Reclamation provides funding for projects to improve water management through several, separate, WaterSMART funding opportunities:

Through Water and Energy Efficiency Grants, Reclamation provides cost-shared financial assistance for projects resulting in quantifiable and sustained water savings and that may have several components intended to address a significant water management concerns, and which may increase renewable energy use and improve energy efficiency (Funding Group I: up to $300,000 in Federal funding for projects that take two years to complete; Funding Group II:

up to $1,000,000 for larger, phased projects that take up to three years to complete).

Through Small-Scale Water Efficiency Projects, Reclamation provides cost-shared financial assistance for small-scale water management projects (up to $75,000 in Federal funding for each project) that have been identified through previous planning efforts.

In addition, 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 supports building long-term resilience to drought by funding Drought Resiliency Projects supported by an existing drought contingency plan.

Through the Cooperative Watershed Management Program (CWMP), Reclamation provides funding to watershed groups to encourage diverse stakeholders to form local solutions to address their watershed management needs. Through Phase I of the CWMP, Reclamation provides funding for the establishment or further development of watershed groups and through Phase II for the implementation of watershed management and/or restoration projects.

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

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

Section B. Award Information

Section B. Award Information B.1. Total Project Funding Of the President’s fiscal year (FY) 2018 budget WaterSMART Grants, Reclamation will make approximately $3 million available for implementing Water Marketing Strategy Grants under this FOA. The amount of funding available for awards depends on final FY 2018 appropriations. This FOA may be canceled if FY 2018 appropriations are insufficient to support new awards. The total amount of funding for awards under this FOA will depend on the demand for funding under this and other categories of WaterSMART Grants.

Applications submitted under this FOA may also be considered if additional funding becomes available in FY 2018 or thereafter. Please refer to Reclamation’s WaterSMART Grants website (www.usbr.gov/watersmart/grants.html) for updated funding information.

B.2. Project Funding Limitations The Federal share (Reclamation’s share in addition to any other sources of Federal funding) of any one proposed project shall not exceed 50 percent of the total project costs. Generally, the non-Federal share of project costs must be expended at the same or greater rate as the Federal share of project costs.

Applicants are invited to submit proposals under two different Funding Groups to develop a water marketing strategy:

Funding Group I: Up to $200,000 in Federal funds will be available for water marketing strategies that can be completed within two years from the date of award because they are relatively smaller in scope or less complex (i.e., involve fewer partners, address a smaller geographic area, are less complex because they build on prior work, or because the water marketing activities are less complex).

Applicants in this funding group will conduct outreach, planning and scoping activities, and develop a water marketing strategy appropriate to the scope of their proposal. Funding Group I proposals will be evaluated separately from Funding Group II proposals to ensure fairness. See Section C.3. Eligible Projects for the specific requirements for developing a water marketing strategy under this program.

Funding Group II: Up to $400,000 in Federal funds will be available for more complex water marketing strategies that will require up to three years to complete because they are broader in scope (i.e., involve more partners, address a larger geographic area, or are more complex because the water marketing activities are more complex). See Section C.3. Eligible Projects for the specific requirements for developing a water marketing strategy under this program.

http://www.usbr.gov/watersmart/grants.html

Note: Funding Group I proposals will be evaluated separately from Funding Group II proposals to ensure fairness.

B.3. Assistance Instrument

Awards will be made through grants or cooperative agreements, as applicable to the selected Project. If a cooperative agreement is awarded, the recipients should expect Reclamation to have substantial involvement in the completion of the Project. Substantial involvement by Reclamation may include:

Participating and collaborating jointly with the recipient in carrying out the scope of work

Directing or redirecting work because of interrelationships with other projects

At the request of the recipient, Reclamation can provide technical assistance after award. If you would like to receive Reclamation technical assistance, you must account for these costs in your budget. To discuss available assistance and these costs, contact your local Reclamation office, listed at www.usbr.gov/ main/offices.html.

http://www.usbr.gov/main/offices.html

Section C. Eligibility Information

C.1. Eligible Applicants Under P.L. 111-11, Section 9502, an eligible applicant is a state, Indian tribe, irrigation district, water district, or other organization with water or power delivery authority.

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

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

• Federal governmental entities

• 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 costs of the water marketing strategy (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 strategies. 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.2.2.10. Official Resolution and D.2.2.7. Project Budget, Funding Plan and Letters of Commitment for more information regarding the documentation required to verify commitments to meet cost sharing requirements.

C.2.1. Cost Share Regulations

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

http://www.ecfr.gov/ http:D.2.2.10

C.2.2. In-Kind Contributions and Donations

In-kind contributions and donations constitute the value of noncash contributions that benefit a federally assisted project. These contributions may be in the form of equipment, supplies, and other expendable property, as well as the value of goods and services directly benefiting and specifically attributable to the proposed Project. The cost or value of in-kind contributions and donations 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 in-kind donations and contributions, available at www.ecfr.gov.

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

Proposals for the development of a water marketing strategy to establish or expand water markets or water marketing activities are eligible for funding under this FOA. Water marketing strategies funded under this FOA must address the required elements described below in Section C.4.1. Required Project Elements.

Proposed Projects must also include the required steps for developing a water marketing strategy described in Section C.4.2. Required Planning Components and Technical Project Report.

C.3.2. Ineligible Projects

Proposals for planning studies, other than water marketing strategies, are not eligible for funding under this FOA. This includes proposals for appraisal investigations, feasibility studies, special studies, Basin Studies, Drought Contingency Plans 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).

Other projects that are not eligible for funding under this FOA include:

• Construction activities

• Water conservation projects http://www.usbr.gov/ruralwater

• Projects considered normal operations, maintenance, and replacement

(OM&R)

• Projects that are part of a congressionally authorized Title XVI project under P.L.102-575, as amended (43 U.S.C. 390h et seq.). A list of congressionally authorized Title XVI projects can be found at www.usbr.gov/watersmart/title/authorized.html.

• Water purchases

• Construction of buildings for administration purposes

• Projects to conduct on-farm improvements

For more information regarding these types of ineligible projects please contact the Program Coordinator as listed in Section G.2. Reclamation Program Coordinator Contact.

C.3.3. Length of Projects

Projects funded under Funding Group I of this FOA should be completed within two years of award, and Projects funded under Funding Group II of this FOA should be completed within three years of award.

C.4. Project Requirements Projects proposed for funding under this FOA must address the elements of a water marketing strategy described below. Projects must also meet the required procedural steps, which are also described below. In addition, Projects must include a technical report that summarizes all work undertaken and provides findings and conclusions on Project results and benefits. The required strategy elements and steps are intended to guide the planning process but still allow recipients flexibility to use an approach that meets their budget and planning needs.

C.4.1. Required Project Elements

Projects funded under this FOA must address each of the three elements described below. If the applicant has already completed significant work on a particular element, the applicant may summarize prior work when addressing that element in the technical report. It is not mandatory that the Project address all of the sub-tasks listed under each element. The applicant can substitute appropriate sub-tasks or may provide explanation that certain sub-tasks have already been completed or are not necessary. However, it is also important that sub-tasks identified by the applicant support an overarching water marketing strategy.

http://www.usbr.gov/watersmart/title/authorized.html

Projects focused primarily on one sub-task, such as software development, and which are not strongly linked to the development of a more comprehensive water marketing strategy, are not likely to score well under the evaluation criteria. For projects focused on a specific sub-task, we recommend looking into one of Reclamation’s other funding opportunities mentioned in Section A.4. For example, Reclamation provides funding for the development of software or tools supporting water marketing as a discrete project under the Drought Response Program.

Projects funded under this FOA must address each of the three required elements, as follows:

Element 1. Outreach and Partnership Building—Informing and obtaining input from potential market participants and stakeholders within the relevant geographic areas, which may include but is not limited to:

• Conducting outreach to potential partners, participants, and interested or affected stakeholders in the area through public meetings, webinars, notices, or other forms of communication, and research

• Hosting workshops to gather input and feedback on the development of the water marketing strategy

Note: Outreach and partnership building costs, including advertising and public relations costs, must be directly related to the development of the strategy, as opposed to providing general information or advertisements. Please see the applicable cost principles contained in 2 CFR Part §200, available at the Electronic Code of Federal Regulations (www.ecfr.gov).

Element 2. Scoping and Planning Activities—Studies to explore the potential to develop a new water market, or to conduct water marketing activities, which may include, but are not limited to, the following types of analyses:

• Conducting financial or economic analyses to identify potential buyers and sellers, assess demand for the water market, and research the cost of implementing the water market.

• Researching different water marketing approaches to support development of administrative or institutional requirements for implementation of a water market/water marketing activities.

• Analyzing water rights issues or legal requirements, including legal mechanisms for transferring water within the relevant area, and legal constraints on existing water rights (type and place of use requirements, title issues, or other constraints). Funding may not be used for the preparation of a specific water court case.*

• Quantifying water rights, consumptive use, diversions, and return flows to determine how much water is available for marketing and to avoid impacts to downstream water users.

• Analyzing economic, social, community, and environmental impacts of potential market/transaction(s).

• Conducting hydrologic or engineering studies related to water supply, use of existing infrastructure (e.g., for water storage, delivery, or transfer), new infrastructure requirements (e.g., interties to support water transfers), or hydrologic impacts of water marketing. If some measurement, monitoring, field work, or pilot activities are required to complete this task, such work may be eligible for funding so long as it comprises a minor part of the work described in the proposal and the applicant includes funding in their budget for related environmental compliance work.* “Pilot activities” could include, for example, the movement of water and associated measurement activities integral to the development of a water marketing strategy, in compliance with applicable laws.

• Analysis of decision support tools, including software databases, registries, dashboards or models that would help facilitate water marketing. Note, some work that would be considered “development” or “modification” of decision support tools to support water marketing activities may be considered eligible for funding so long as this work is integral to the development of a water marketing strategy and comprises a minor part of the work described in the proposal.*

Element 3. Development of a Water Marketing Strategy—A water marketing strategy is a written document that describes a proposed approach to establish or expand a new water market or water marketing activities based on the results of the outreach, scoping, and planning activities that are performed under Project Elements 1 and 2. The requirements that apply to the development of the water marketing strategy for Funding Group I and Funding Group II Projects are shown in Table 1.

* Funding for this type of work may not exceed 30 percent of the project’s cost.

Table 1.—Strategy Requirements

Requirement Description

Implementation Plan

Describe how the water market/water marketing activities will be implemented following completion of the strategy including:

• How the water market will operate or how marketing activities will be conducted, including a discussion of any alternatives that were considered and support for why the recommended approach was selected;

• Addressing long-term project management and financial sustainability;

• The actual or potential administrative structure and institutional components;

• The participants, water rights, and infrastructure involved;

• How transactions will be tracked; and

• The issues to be resolved and the steps to be taken prior to implementation.

Legal Framework

Describe the legal framework for the water market/marketing activities, including:

• How the water marketing activity fits within state water law requirements;

• Any contracts, interstate-compacts treaties, or other legal requirements that may impact the water market or marketing activities;

• The actual or potential rules and requirements that will govern the implementation of the water market/marketing activities;

• The actual or potential contracts, agreements that are being drafted or would need to be drafted, and any legal actions that would need to be taken (e.g., change of water rights) to support the water market/marketing activities; and

• The strategy will also describe any legal issues to be resolved prior to implementation.

Table 1.—Strategy Requirements

Requirement Description

Monitoring

How water marketing activities will be monitored, including:

• The process by which market participants will track the physical movement of water from seller to buyer,

• How the purchasers will recognize the receipt of water, and

• How transactions will be monitored to avoid harm to other water users.

Decision Support Tools

Development of decision support tools, including:

• A description of any decision support tools, software databases, registries, dashboards, or models that were developed as part of the strategy or which are needed to facilitate implementation of the water marketing strategy.

Pilot Activities (if applicable)

To the extent that the Project included pilot activities, describe those activities and their outcome, including:

• A description of the types of pilot activities undertaken, how the activities were implemented and their duration; and

• The outcome of all pilot activities including what was learned, and how this information informed and was incorporated into the strategy.

Level of Detail: The level of detail in addressing the strategy requirements may vary depending on how much prior planning has occurred, the level of complexity of the issues being addressed, and how close the Project is to implementation. If planning has not yet progressed to the point where these aspects are known, planning efforts in beginning stages may include a general description of the above-described required elements, for example, describing potential administrative structures under consideration, potential plans for long-term operations and financing. More advanced planning efforts should be fully developed with more detailed information regarding each strategy element described above, for example, a description of the actual administrative structure, institutional components, the rules, and requirements. Recipients of Water Marketing Strategy Grants may propose additional strategy elements that are not described above, and these will be considered so long as they are consistent with program requirements.

Note: If awarded funding, the recipient is solely responsible for developing the water marketing strategy. Reclamation does not exercise control over the recommended approach or decisions that come from the analysis.

C.4.2. Required Planning Components and Technical Project Report

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 describe the following Required Planning Components and Technical Project Report to be undertaken as part of the development of a water marketing strategy:

• Development of a Project Work Plan. —The Project Work Plan should specify how the three required Project elements will be performed, along with a detailed work schedule, and identify the responsibilities of the recipient and other interested stakeholders. The work plan must be submitted to Reclamation for review within 60 calendar days after the agreement is signed, and may be updated as conditions warrant. The purpose of Reclamation’s review of the work plan is to help ensure that program requirements are met as a strategy is being developed.

• Development of a Communication and Outreach Plan. —As part of the Project Work Plan, the recipient must develop a Communication and Outreach Plan. This plan should explain how stakeholders and the public will be involved in the planning process, including input on the drafting of the water marketing strategy and providing feedback to the recipient and any Project partners. Participation could occur through public meetings, webinars, public notices, and other forums or approaches. The Communication and Outreach Plan must be submitted to Reclamation along with the Project Work Plan within 60 calendar days after the agreement is signed.

• Development of a Water Marketing Strategy.—A written Water Marketing Strategy consisting of the Strategy Requirements described above in Element 3 must be submitted to Reclamation for review, with the Technical Project Report attached, at least 60 days before completion of the period of performance.

• Required Technical Project Report.— All Projects awarded funding under this FOA must include the development of a written Technical Project Report that summarizes all work undertaken and provides findings and conclusions on Project results and benefits (for example, are the expected benefits of the water market/activity stated in the proposal still realistic after completion of the strategy?). The report should include a description of all planning and outreach activities conducted, lessons learned, and any other findings and conclusions. The report must also identify all outstanding issues to be resolved before the water market or marketing activities can be implemented, if any, and any steps that might be taken to resolve those issues. The draft Technical Project Report, with the draft water marketing strategy attached, must be submitted to Reclamation for review at least 60 days before completion of the period of performance. The purpose of Reclamation’s review is to ensure that the completed Project meets the goals and objectives of this FOA.

Note: 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 Water Marketing Strategy will be successful upon completion. Reclamation participation in this Project is limited to the provision of funding and technical assistance for the development of a strategy that strives to support water marketing activities. Reclamation review of the Project Work Plan and Technical Project Report is only to ensure compliance with Program requirements, not to approve the recommended approach or decisions documented in the Strategy.

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: Ms. Julie J. Hendricks P.O. Box 25007, MS 84-27814 Denver, CO 80225

By e-mail: jhendricks@usbr.gov

By telephone: 303-445-2428

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 35 consecutively numbered pages. If an application exceeds 35 pages, only the first 35 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 for the water marketing strategy, existing previous planning work to be relied on, and documentation associated with a request for 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.

mailto:jhendricks@usbr.gov

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-424A Budget Information for Non-Construction Programs o SF-424B Assurances for Non-Construction Programs 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

• Required permits or approvals

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

• Environmental and cultural resources compliance, if applicant is undertaking pilot activities or activities involving measurement, monitoring or field work

• Copies of or links to any existing work described in response to the project implementation evaluation criterion (if applicable) (this will not count towards the page limitation)

• Letters of support for the water marketing strategy (will not count toward the page limitation) Note: Letters of support received after the submission deadline identified in Section D.4 will not be considered in the evaluation of the proposal

• Official resolution (will not count toward the page limitation) http://www.grants.gov/web/grants/forms/sf-424-family.html http://www.grants.gov/web/grants/forms/sf-424-family.html

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 Form

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

SF-424 Assurances

A SF-424B Assurances Non-Construction Programs, signed by a person legally authorized to commit the applicant to performance of the project must be included. Failure to submit a properly signed SF-424B 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 water marketing strategy). Include the name and address of the applicant, and the name and address, e-mail address, and telephone of the project manager.

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

D.2.2.4. Technical Proposal and Evaluation Criteria The technical proposal and evaluation criteria (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 summary of the proposal

• The length of time and estimated completion date for the proposed water marketing strategy

• Whether or not a Reclamation project, facility, or activity is located within the geographic area to be addressed in the proposed water marketing strategy

Background Data

Provide a general description of the area to be addressed in the proposed water marketing strategy, 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 Location

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

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

1. Shapefile (.shp)

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

3. AutoCAD (.dwg)

4. PDF map (.pdf)

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 Funding Group I or Funding Group II. Proposals should address the requirements for conducting a water marketing strategy this FOA, 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. Environmental and Cultural Resources Compliance.

All applicants who are proposing to conduct activities involving measurement, monitoring, field work, or pilot activities must respond to the following list of questions focusing on National Environmental Policy Act (NEPA), Endangered Species Act (ESA), and National Historic Preservation Act (NHPA) requirements, to allow Reclamation to assess the probable environmental and cultural resources impacts and costs associated with the application.

Conducting water marketing transactions on a pilot basis or otherwise entering into contracts during the project period will trigger the Federal environmental compliance process described in Section F.2.1. Administrative and National Policy Requirements, requiring the applicant to account for the time and cost associated with environmental compliance activities. Applicants who intend to conduct pilot activities during their project are strongly advised to consider how these costs will affect their project’s budget.

Please answer the following questions to the best of your knowledge. If any question is not applicable to the project, please explain why.

The application should include the answers to:

• Will the proposed Project impact the surrounding environment (e.g., soil [dust], air, water [quality and quantity], animal habitat)? Please briefly describe all earth-disturbing work and any work that will affect the air, water, or animal habitat in the area. Please also explain the impacts of such work on the surrounding environment and any steps that could be taken to minimize the impacts.

• Are you aware of any species listed or proposed to be listed as a Federal threatened or endangered species, or designated critical habitat in the area?

If so, would they be affected by any activities associated with the proposed Project?

• Are there wetlands or other surface waters inside the Project boundaries that potentially fall under Clean Water Act (CWA) jurisdiction as “Waters of the United States?” If so, please describe and estimate any impacts the proposed project may have.

• When was the water delivery system constructed?

• Will the proposed project result in any modification of or effects to, individual features of an irrigation system (e.g., headgates, canals, or flumes)? If so, state when those features were constructed and describe the nature and timing of any extensive alterations or modifications to those features completed previously.

• Are any buildings, structures, or features in the irrigation district listed or eligible for listing on the National Register of Historic Places? A cultural resources specialist at your local Reclamation office or the State Historic Preservation Office can assist in answering this question.

• Are there any known archeological sites in the proposed area?

• Will the proposed Project have a disproportionately high and adverse effect on low income or minority populations?

• Will the proposed Project limit access to and ceremonial use of Indian sacred sites or result in other impacts on tribal lands?

• Will the proposed Project contribute to the introduction, continued existence, or spread of noxious weeds or non-native invasive species known to occur in the area?

Note: if mitigation is required to lessen environmental impacts, the applicant may, at Reclamation’s discretion, be required to report on progress and completion of these commitments. Reclamation will coordinate with the applicant to establish reporting requirements and intervals accordingly.

Under no circumstances may an applicant begin any ground-disturbing activities (including grading, clearing, and other preliminary activities) on a project before environmental compliance is complete and Reclamation explicitly authorizes work to proceed. This pertains to all components of the proposed project, including those that are part of the applicant’s non-Federal cost share.

Reclamation will provide a successful applicant with information once environmental compliance is complete. An applicant that proceeds before environmental compliance is complete may risk forfeiting Reclamation funding under this FOA. Costs incurred for ground-disturbing activities performed prior to award are not eligible for reimbursement or cost share unless the recipient can provide documentation that Federal environmental and cultural resource clearances were obtained prior to the commencement of the activities.

If you have any questions regarding NEPA, ESA, and NHPA requirements, please see Section H. Other Information and contact your local Reclamation office, listed at www.usbr.gov/main/offices.html.

D.2.2.6. Required Permits or Approvals Applicants must state in the application whether any permits or approvals are required for the Project and describe the approach for obtaining such permits or approvals.

D.2.2.7. 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…