1-29-16 dwpr r16-foa-do-010 pilot amendment 1.pdf

Funding Opportunity Announcement No. R16-FOA-DO-010

Desalination and Water Purification Research and Development (DWPR) Fiscal Year 2016 Pilot Projects

U.S. Department of the Interior Bureau of Reclamation Technical Service Center Denver, Colorado November 2015

Mission Statements The Department of the Interior protects and manages the Nation’s natural resources and cultural heritage; provides scientific and other information about those resources; and honors its trust responsibilities or special commitments to American Indians, Alaska Natives, and affiliated island communities.

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, Denver, Colorado

Funding Opportunity Title: Desalination and Water Purification Research and Development Program

(DWPR)

Announcement Type: Funding Opportunity Announcement

Funding Opportunity Number:

R16-FOA-DO-010

Catalog of Federal Domestic Assistance (CFDA) Number:

15.506

Dates:

Phase 1 Phase 2 (See FOA Sec. IV.B)

February 8, 2016 at 4:00 pm Mountain Standard Time (MST) April 27, 2016 at 4:00 pm MST

Eligible Applicants:

(See FOA Sec. III.A)

Individuals, institutions of higher education, commercial or industrial organizations, private entities, public entities (including state and local), non-profit organizations, and Indian Tribal Governments.

Foreign entities are not eligible for funding under the authorizing legislation for this program.

Federal agencies are not eligible to apply.

Recipient Cost Share:

(See FOA Sec. III.E)

All applicants must provide at least 50% non-Federal cost share

Federal Funding Amount:

(See FOA Sec. II.B)

Up to $200,000 per year for each pilot scale project, for a total of up to $400,000 for two years.

Estimated number of agreements to be awarded:

(See FOA Sec. II.B)

1 to 5

Estimated amount of funding Available for award:

(See FOA Sec II.A)

Up to $1,600,000

Application Checklist

Application Checklist The following table contains a summary of the information that you are required to submit a Desalination and Water Purification Research and Development (DWPR) application.

Cover page

Form SF 424, available at <http://apply07.grants.gov/apply/ FormLinks?family=15>

Assurances

Form SF 424B or SF 424D, as applicable, available at <http://apply07.grants.gov/apply/ FormLinks?family=15>

Title page Page 15

Table of contents Page 16 Technical proposal:

• Executive summary

• Technical project description

• Evaluation criteria

• Environmental compliance

• Required permits and approvals

Pages 16–18

Page 16-17 Pages 27–28

Project budget proposal:

• Budget form

• Funding plan

Pages 19–23 Form SF 424A or SF 424C, as applicable, at <http://apply07.grants.gov/apply/ FormLinks?family=15>

Pages 19-23

What to Submit Required Content and Form or Format http://apply07.grants.gov/apply/ http://apply07.grants.gov/apply/ http://apply07.grants.gov/apply/

Acronyms and Abbreviations

Acronyms and Abbreviations

ALC Agency Location Code

ARC Application Review Committee

ASAP Automated Standard Application for Payments

BGNDRF Brackish Groundwater National Desalination Research Facility

BOD biological oxygen demand

CFDA Catalog of Federal Domestic Assistance

CFR Code of Federal Regulations

COD chemical oxygen demand

DOI U.S. Department of the Interior

DWPR Desalination and Water Purification Research and Development Program

DUNS Data Universal Number System

FOA Funding Opportunity Announcement

FY fiscal year

GO Grants Officer

MST Mountain Standard Time

OMB Office of Management and Budget

QA/QC Quality Assurance and Quality Control

Reclamation Bureau of Reclamation

SAM System for Award Management

Table of Contents

Page

Synopsis ....................................................................................................... iii

Application Checklist .................................................................................. v

Acronyms and Abbreviations ................................................................... vii

Table of Contents ....................................................................................... ix

Section I: Funding Opportunity Description I.A. DWPR Overview I.B. rities I.C. Program Authority

Section II: Award Information II.A. otal Program Funding II.B. Projects Overview II.C. Facility and Equipment Resources II.D. eclamation Responsibilities II.E. Award Date

Section III: Eligibility Information III.A. Eligible Applicants III.B. Cost Sharing Requirements

III.B.1. t-Share Regulations III.B.2. In-Kind Contributions III.B.3. e-Award Costs III.B.4. Indirect Costs

III.C. Other Requirements III.C.1 System for Award Management and Automated Standard

Application for Payments Registration III.C.2 Federal Awardee Performance and Integrity Information System (FAPIIS)

Section IV. Application and Submission Information IV.A. Address to Request Application Package IV.B. Application Submission

IV.B.1 Submission Date and Time IV.B.2 Application Delivery Instructions

IV.C. Instructions for Submission of Project Application IV.C.1 Applications Submitted by Courier or Express Delivery/Mail Services IV.C.2 Applications Submitted Electronically

Announcement No. R16-FOA-DO-010 x

IV.C.3 3 Application Preparation Instructions IV.C.4 Application Format and Length IV.C.5 Application Content

SF-424 Application Cover Page SF-424 Assurances

IV.C.6 6 Technical Proposal Content Title Page Table of Contents Executive Summary Background and Introduction Technical Approach Scope of Work Research Work Plan and Schedule Project Management Applicant Experience and Past Performance Work Currently Sponsored by Others Facilities and Equipment Information Environmental Impact Dismantling Plans Other Information

IV.C.7 7 Project Budget Budget Proposal Budget Narrative

Salaries and Wages Fringe Benefits Travel

Equipment Materials and Supplies Contractual

Other Expenses Indirect Costs

Total Costs Budget Form

Section V. Application Review Information V.A. Section Review and Selection Process

V.A.1. First-Level Screening V.A.2. Second-Level Evaluation (Technical Review) V.A.3. Third-Level Evaluation (Managerial Review)

V.B. aluation Criteria V.B.1. 1. Technical Factors V.B.2. 2. Managerial Factors V.B.3. 3. Additional Cost-Share

V.C. Pre-Award Clearances and Approvals

Section VI. Award Administration Information VI.A. Award Notices

VI.B. Award Document VI.C. Reporting Requirements and Deliverables

VI.C.1 Quarterly Reports VI.C.2. Financial Reports VI.C.3. Final Report VI.C.4. . Presentation

Section VII. Federal Award Agency Contacts

Section VIII. Other Information VIII.A. Use and Disclosure of Proposal Information - Department of the Interior (APR 1984) VIII.B. atents, Copyrights, Rights to Data

VIII.B.1. atent Rights VIII.B.2. pyrights (Reclamation 08/03) VIII.B.3. ghts to Data (Reclamation 08/03)

Section I. Funding Opportunity Description

Section I: Funding Opportunity Description The U.S. Department of the Interior (DOI), Bureau of Reclamation (Reclamation), is accepting applications for projects to be funded by the Desalination and Water Purification Research and Development Program (DWPR). Through this Funding Opportunity Announcement (FOA), Reclamation is forming partnerships with private industry, universities, water utilities, and others to address a broad range of desalting and water purification needs.

Reclamation is interested in research where the benefits are widespread but where private-sector entities are not able to make the full investment and assume all the risks. Reclamation is also interested in research that has a national significance— where the issues are of large-scale concern and the benefits accrue to a large sector of the public.

I.A. DWPR Overview The goal of DWPR is to reduce the costs and environmental impacts of treating impaired and unusable waters. The program has aligned its objectives with the strategic desalination research agenda from National Research Council’s Desalination: A National Perspective. Washington, D.C.: National Research Council of the National Academies, 2008 and Water Reuse Washington, D.C.:

National Research Council of the National Academies, 2012. The DWPR program objectives are listed below.

• Assess environmental impacts of desalination intake and concentrate management approaches

• Develop improved intake methods at coastal facilities to minimize impingement of larger organisms and entrainment of smaller ones

• Assess the quantity and distribution of brackish water resources nationwide

• Improve pretreatment for membrane desalination

• Improve membrane system performance

• Improve existing desalination approaches to reduce primary energy use

• Develop novel approaches or processes to desalinate water in a way that reduces primary energy use

• Develop cost-effective approaches for concentrate management that minimize potential environmental impacts

• Assess the potential impacts of environmental applications of reclaimed water in sensitive ecological communities

• Quantify the nonmonetized costs and benefits of potable and nonpotable water reuse compared with other water supply sources to enhance water management decision making

• Examine the public acceptability of engineered multiple barriers compared with environmental buffers for potable reuse

• Develop a better understanding of the formation of hazardous transformation products during water treatment for reuse and ways to minimize or remove them

• Develop a better understanding of pathogen removal efficiencies and the variability of performance in various unit processes and multibarrier treatment and develop ways to optimize these processes

• Identify better indicators and surrogates that can be used to monitor process performance in reuse scenarios and develop online real-time or near real-time analytical monitoring techniques for their measurement

• Analyze the need for new reuse approaches and technology in future water management.

I.B. DWPR Priorities For fiscal year (FY) 2016, Reclamation’s DWPR priorities are the following:

• Overcoming technical and economic barriers for direct and/or indirect potable reuse treatment

• Demonstrating novel processes and/or materials to treat impaired waters at the pilot scale

• Concentrate management solutions leading to concentrate volume minimization for inland brackish desalination

• Resource recovery from various impaired process streams

• Pilot projects conducted at the Brackish Groundwater National Desalination Research Facility (BGNDRF)

Section I. Funding Opportunity Description

These preferences should not be interpreted to exclude other desirable concepts that address the goals and objectives described in Section I.A. “DWPR Overview” However, applications addressing these topics will receive additional credit during evaluations. See Section V.B. “Evaluation Criteria” for further information.

I.C. Program Authority

The authorizing legislation for this program is the Reclamation Act of 1902, June 17, 1902, Sec.1 and Sec. 2, and the Omnibus Public Land Management Act of 2009, Public Law 111-11, section 9509, Research Agreement Authority.

Section II. Award Information

Section II: Award Information This FOA is intended for pilot projects only as described below. Applications for research and laboratory studies should be submitted under FOA No. R16-FOA- DO-009. Applications received under this FOA for research and laboratory studies may be evaluated under the Research and Laboratory studies FOA based upon the initial determination of the project’s merit and selection for the second phase review and evaluation.

II.A. Total Program Funding For fiscal year (FY 2016), Reclamation anticipates awarding up to $1,600,000 for projects funded under this FOA. Funding is limited to $400,000 in federal funding per application. The number of awards made and the aggregate amount awarded for each category will be based on the quality of the applications received and congressional funding available.

II.B. Pilot Projects Overview Duration: 25 months or less

Description: Pilot projects are typically preceded by research studies (funded previously by DWPR or others) that demonstrate that the technology works. They usually involve flow rates above 1 gallon per minute and are tested using natural water sources rather than synthetic or laboratory-made feed water. Pilot projects are used to determine the technical, practical, and economic ability of a process.

Costs are developed for capital and operation and maintenance.

Funding: Reclamation cost-share portion of up to $400,000 per agreement in the Pilot Project category. This is divided as follows: up to $200,000 for the first year for pilot plant design, construction and installation and up to $200,000 for an optional second year for testing, modification and evaluation. Second year funding is not guaranteed and it is dependent on congressional funding and adequate work completed in year one.

Cost share is required for all applicants. Applicants must provide at least 50 percent non-Federal cost-share.

II.C. Facility and Equipment Resources Reclamation’s state-of-the-art water treatment laboratory and pilot-scale facilities may be available for use on a cost reimbursable basis. These include the Water Quality Improvement Center in Yuma, Arizona, and BGNDRF in Alamogordo, New Mexico. Information on these facilities can be found at <www.usbr.gov/research/AWT/research_facilities.html>.

http://www.usbr.gov/research/AWT/research_facilities.html

II.D. Reclamation Responsibilities Project awards will be made through cooperative agreements. It is anticipated that Reclamation will have substantial involvement in each funded project. Substantial involvement by Reclamation may include:

• Coordination of contributions made by team members from the different partners and evaluating successes as each task is undertaken as well as suggesting changes to tasks to accomplish project goals.

• Review, input, and approval of draft and final research outcomes including the final research report.

II.E. Award Date Reclamation expects to contact potential award recipients and unsuccessful applicants in July 2016, or slightly later if necessary, based on the enactment of FY 2016 appropriations. Within one to three months after that date, financial assistance agreements will be awarded to applicants that successfully pass allpre-award reviews and clearances.

It is anticipated that awards will be made around July 2016 timeframe, with an anticipated project start date on or around September 1, 2016.

Section III. Eligibility Information

Section III: Eligibility Information

III.A. Eligible Applicants Any responsible source, including individual, institutions of higher education, commercial or industrial organizations, private entities, public entities (including state and local), non-profit organizations, or Indian Tribal Governments.

Those not eligible include the following entities:

• Federal governmental entities

• Foreign entities

III.B. Cost Sharing Requirements Cost sharing shall be provided in accordance with the requirements stated in this section. Cost contributions may be either direct or indirect, provided such costs are otherwise allowable, allocable, and reasonable in accordance with the cost principals applicable to the award. Applicants proposing to provide additional cost-share will be given greater consideration during evaluation of their proposal.

Recipients must provide at least 50 percent non-Federal cost share in these agreements through in-kind, cash, or third-party contributions, or combinations thereof.

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 a DWPR project 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.

III.B.1. Cost-Share Regulations All cost-share contributions must meet the criteria established in 2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (available at <www.ecfr.gov>).

III.B.2. In-Kind Contributions In-kind contributions constitute the value of noncash contributions that benefit a federally assisted project. These contributions may be in the form of real property, equipment, supplies and other expendable property, as well as the value of goods and services directly benefiting and specifically identifiable to the proposed project or program. The cost or value of in-kind contributions that have been or will be relied on to satisfy a cost-sharing or matching requirement for another http://www.ecfr.gov/

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 DWPR applications. Applicants should refer to 2 CFR 200.434 for regulations regarding the valuation of in-kind donations and contributions, available at www.ecfr.gov.

III.B.3. Pre-Award Costs Project pre-award costs that have been incurred prior to the date of award but after the date of authorization and appropriation for this program may be submitted for consideration as an allowable portion of the recipient's cost share for the project.

In no case will pre-award costs incurred prior to October 1, 2015 be considered for cost share purposes.

Reclamation will review the proposed pre-award costs to determine if they are allowable in accordance with the authorizing legislation and applicable cost principles. To be considered allowable, any pre-award costs proposed for consideration under the new awards must comply with all applicable requirements under this FOA.

III.B.4. Indirect Costs Indirect costs that will be incurred during the development or construction of a project, which will not otherwise be recovered, may be included as part of the applicant’s project budget. Indirect costs are those:

• Incurred for a common or joint purpose benefiting more than one cost objective

• Not readily assignable to any one cost objective If the applicant has never received a Federal negotiated indirect cost rate, proposals may elect to include a de minimis rate of up to 10 percent of modified total direct costs. Otherwise, if the applicant proposes indirect costs in the budget, then the applicant must either supply a copy of a current federally negotiated indirect cost rate agreement or obtain an agreement within one year of the award.

For further information on indirect costs and modified total direct costs, refer to 2 CFR Part 200 available at ww.ecfr.gov.

Reclamation is a member of many the Cooperative Ecosystem Studies Units (CESU) and strongly encourages Institutions of Higher Education to use the negotiated CESU indirect cost rate for proposals submitted under the DWPR program.

III.C. Other Requirements Applicants shall adhere to Federal, State, and local laws, regulations, and codes, as applicable, and shall obtain all required approvals and permits. Applicants shall also coordinate and obtain approvals from site owners and operators.

http://www.ecfr.gov/

Section III. Eligibility Information

III.C.1 System for Award Management and Automated Standard Application for Payments Registration

All applicants must be registered in the System for Awards Management (SAM) prior to award under this FOA. Instructions for registering for SAM are located at <www.sam.gov/portal/public/SAM>. All applicants must maintain an active SAM registration with current information at all times while they have an active Federal award or an application under consideration.

All applicants must also be registered with and process all payments through the Department of Treasury Automated Standard Application for Payments (ASAP) system. All recipients with active financial assistance agreements with Reclamation must be enrolled in ASAP under Reclamation’s Agency Location Code (ALC) and the Data Universal Number System (DUNS) number prior to the award of funds. If recipients have multiple DUNS, numbers they must separately enroll within ASAP for each unique DUNS number and/or Agency.

All of the information on the enrollment process for recipients, including the enrollment initiation form and the enrollment mailbox, is at:

<www.usbr.gov/mso/aamd/asap.html>.

Note that if your organization is currently enrolled in the ASAP system with an agency other than Reclamation, you must enroll specifically with Reclamation in order to be eligible for award and process payments.

III.C.2 Federal Awardee Performance and Integrity Information System (FAPIIS)

Reclamation, prior to making a Federal award with a total Federal estimated amount greater than the simplified acquisition threshold (currently $150,000.00), is required to review and consider any information about the applicant that is in the designated integrity and performance system accessible through SAM (currently FAPIIS) (see 41 U.S.C. 2313). The applicant, at its option, may review information in the designated integrity and performance systems accessible through SAM and comment on any information about itself that a Federal awarding agency previously entered and is currently in FAPSIIS. Recalamtion will consider any comments by the applicant, in addition to the other information in the designated integrity and performance system, in making a judgment about the applicant's integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in §200.205, Federal awarding agency review of risk posed by applicants.

http://www.sam.gov/portal/public/SAM http://www.usbr.gov/mso/aamd/asap.html

Section IV. Application and Submission Information

Section IV. Application and Submission Information

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

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

By mail: Bureau of Reclamation

Financial Assistance Management Branch Attn: Ms. Janeen Koza Mail Code: 84-27852 P.O. Box 25007 Denver, CO 80225

By email: jkoza@usbr.gov

By telephone: 303-445-3446

IV.B. Application Submission

IV.B.1 Submission Date and Time Application submission date deadline:

• Phase 1: February 8, 2016, 4:00 p.m. Mountain Standard Time (MST)

• Phase 2: April 27, 2016, 4:00 p.m. MST

Proposals received after the application deadline will not be considered unless it can be determined that the delay was caused by Federal government mishandling.

Please note that any application submitted to Reclamation for DWPR funding may be subjected to a Freedom of Information Act request (5 United States Code § 552, as Amended by Public Law No. 110-175), and as a result, may be made publicly available. After final selection, Reclamation may post all successful applications on the Reclamation website after any redactions determined necessary by Reclamation, in consultation with the Recipient as needed.

mailto:jkoza@usbr.gov

IV.B.2 Application Delivery Instructions Applications may be submitted electronically through <www.grants.gov> or hard copies may be submitted to either one of the following addresses. Under no circumstances will applications received through any other method (such as email or fax) be considered eligible for award.

By mail: Bureau of Reclamation

Financial Assistance Management Branch Attn: Ms. Janeen Koza Mail Code: 84-27852

By courier or express delivery/ mail services:

Bureau of Reclamation Attn: Ms. Janeen Koza Mail Code: 84-27852 Denver Federal Center, Bldg. 67, Rm. 152 6th Avenue and Kipling Street

IV.C. Instructions for Submission of Project Application Each applicant shall submit an application in accordance with the instructions contained in this section.

IV.C.1 Applications Submitted by Courier or Express

Delivery/Mail Services Please follow these instructions to submit your application by courier or express delivery/mail services.

• Applicants shall submit an original and one copy of all application documents for hardcopy submissions. Each document should be clearly identified as the “ORIGINAL” or as a “COPY.”

• Hard copy applications may be submitted by mail or express methods to the addresses listed in Section IV.B.2, above.

• Materials arriving separately will not be included in the application package and may result in the application being rejected or not funded.

• Faxed and emailed copies of application documents will not be accepted.

http://www.grants.gov/

• Do not include a cover letter or company literature/brochure with the application. All pertinent information must be included in the application package.

IV.C.2 Applications Submitted Electronically If the applicant chooses to submit an electronic application it must be submitted through Grants.gov at <www.grants.gov>. Reclamation encourages applicants to submit their applications for funding electronically through <www.grants.gov/ applicants/apply_for_grants.jsp>. Applicant resource documents and a full set of instructions for registering with Grants.gov and completing and submitting applications online are available at:

http://www.grants.gov/web/grants/applicants.html

• Please note that submission of an application electronically requires prior registration through Grants.gov, which may take 7 to 21 days. Please see registration instructions at:

• Applicants have sometimes experienced significant delays when attempting to submit applications through Grants.gov. If you plan to submit your application through Grants.gov, you are encouraged to submit your application several days prior to the application deadline. If you are a properly registered Grants.gov applicant and encounter problems with the Grants.gov application submission process, you must contact the Grants.gov Help desk to obtain a “Case Number.” This Case Number will provide evidence of your attempt to submit an application prior to the submission deadline.

Regardless of the delivery method used, you must ensure that your proposal arrives by the date and time deadline stated in Section IV.B.1 – Application Submission Date and Time, above. Late applications will not be accepted unless it is determined that the delay was caused by Federal government mishandling or by a problem with the Grants.gov application system.

IV.C.3 Application Preparation Instructions The technical proposal should present information in a manner which allows it to “stand alone” without the need to reference other documents. It should describe the capability of your organization to participate in this program and should demonstrate a thorough understanding of the technology of the work topic proposed for study. The proposal shall be organized and written so that it can be easily read and meaningfully evaluated by Reclamation personnel and selected external evaluators from a variety of different functional and technical disciplines.

The applicant shall include work-hour requirements for each phase. The work-hour information will be used as an aid in evaluating your understanding of the work requirement.

http://www.grants.gov/ http://www.grants.gov/

You are requested to carefully evaluate the program goals and objectives described in Section I.A “DWPR Overview” and the DWPR priorities described in Section I.B “DWPR Priorities”. To allow for innovation, you are not limited to the identified DWPR priorities in Section I.B, however, the value to this program of any other tasks proposed must be substantiated in your proposal.

IV.C.4 Application Format and Length The total application package shall be no more than 50 consecutively numbered single-sided pages. If an application exceeds 50 pages, only the first 50 pages will be evaluated. The font shall be at least 12 point in size and easily readable. Page size shall be 8½ x 11 inches including maps and charts.

The technical proposal and evaluation criteria section shall be limited to a maximum of 30 pages. The SF-424 forms are not considered in the total page count.

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

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

• SF-424 Application for Federal Assistance

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

• Technical proposal (limited to 30 pages) o Title page o Table of contents o Executive summary o Background and Introduction o Technical Approach o Scope of Work o Research Work Plan and Schedule o Project Management o Personnel Qualifications o Facilities and Equipment Information o Applicant Experience and Past Performance o Work Currently Sponsored by Others o Environmental Impact o Dismantling Plans o Other Information

• Project budget information o Budget Proposal o Budget Narrative o Budget Form SF-424A or SF-424C as applicable to project

SF-424 Application Cover Page This fully completed form must be signed by a person legally authorized to commit the applicant to performance of the project. Failure to submit a properly signed SF-424 may result in the elimination of the application from further consideration.

If you are not submitting your application electronically through Grants.gov, you will need to access copies of the applicable forms ( SF-424, SF-424A, SF-424B, SF-424C and SF-424D) at <www.grants.gov/web/grants/forms/sf-424-family.html#sortby=1>.

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 shall be included. Failure to submit a properly signed SF-424B may result in the elimination of the application from further consideration.

A SF-424D – Assurances – Construction Programs, signed by a person legally authorized to commit the applicant to performance of the project shall be included. Failure to submit a properly signed SF-424D may result in the elimination of the application from further consideration.

IV.C.6 ical Proposal Content The format listed in the following subsections shall be used in preparing the technical proposal:

Title Page Provide a brief and informative title for the proposed work. Include:

• Name of organization

• Address of organization

• Contact information for the project manager including:

o Name o Address o Telephone o E-mail address

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

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

Executive Summary Discuss clearly key elements of proposal including brief description of problem, proposed solution, what the highlights of the proposal are, and funding request.

Please limit to 2 pages.

Background and Introduction Describe the current status of the technology supporting the specific research work proposed. Address the following issues:

• What is the problem to be solved?

• What is the proposed solution?

• Provide background and cite relevant literature and past experience.

Provide a comprehensive background on the problem based on experience and what is reported in literature. If appropriate, identify specific water problem(s) and location.

• What technical risks are associated with the proposed investigation?

Have similar projects been conducted by you or elsewhere? How successful have they been?

• Discuss why the project is ready to move from the research phase to pilot testing.

• What would success look like? If the project proved successful, what would be the result at the end of the investigation, and what would be the potential for follow-on funding for further work? What does the commercialization path look like?

Technical Approach Discuss the approach that will be used to accomplish the proposed work. This discussion shall be in sufficient detail to permit a comprehensive evaluation of the proposal. The applicant’s understanding will be established not only by the proposed approach, but also by anticipating and/or identifying various problems and assessment of the severity of each problem. The proposal shall not merely offer to conduct an effort related to the topics described in Section VIII “Technical Supplemental Information” but shall detail the actual effort proposed as specifically as possible. Repeating the work statement without elaborating on the specific tasks to be performed is unacceptable.

Scope of Work Describe in detail the tasks to be conducted, including reporting. For each task describe what studies and tests you plan to conduct, what kind of apparatus you will need, what data you plan to collect, and what you will do with the data. Describe the kind of staff, the number of staff hours, and the schedule for completing each task.

Research Work Plan and Schedule Provide a research work plan based on the tasks described in the Scope of Work and schedule showing individual tasks with significant milestones identified for the work to be accomplished, including time for the preparation, submission, and approval of required data and reports. Provide this in a table, Gantt chart, project network diagram, or any other visual format.

Project Management Show the proposed organization to manage the work, its relationship to the applicant’s overall corporate structure, and the function and responsibilities of any subcontractors. Include an estimate of the extent of anticipated subcontracting together with a list of items or work to be subcontracted.

Key Personnel Qualifications

Provide the following information on personnel:

• Identification of Project Manager assigned to perform the work.

• Identification of key personnel, including consultants, to be assigned for direct work on the project and as direct technical supervision, along with the nature of each individual’s involvement and estimated work hours by task.

• A statement of assurance that the proposed personnel will be available for work on this agreement.

• A list of alternative personnel to be used in the event proposed personnel are not available as planned.

• A brief resume limited to 2 pages maximum (to include education, experience, accomplishments, and other pertinent information) for all key personnel named.

Applicant Experience and Past Performance Provide a list of projects similar in scope and magnitude to the work required under this FOA which the applicant has completed during the last 3 years. For each project, include:

• Name of the project

• Description of the work

• Name and address of the acquiring government agency or commercial customer, and the name(s) and telephone number(s) of references from the acquiring agency or customer who may be contacted for further information. If a previous Reclamation funded project, include the agreement number and Grants Officer Technical Representative.

Work Currently Sponsored by Others Provide a detailed description of work currently sponsored by others that relates to the proposed work. Show clearly how the proposed work differs from that sponsored by others. Also indicate if this proposal has been or will be presented to others for funding.

Facilities and Equipment Information Describe the facilities in which the work is to be performed. List the equipment that is available for use on this agreement and which will be required for carrying out the proposed work. List and justify any special equipment that is required and indicate the extent to which the work can be accomplished without it. Information on alternative sources considered for the equipment shall also be included.

Environmental Impact Describe any potential environmental benefits or adverse impacts of the proposed work, and plans for disposal of wastes if any result from the study.

If any permits and licenses are required for this study, describe how they will be obtained.

Dismantling Plans Describe plans for the subsequent use or dismantling of equipment once the research or study is completed or Federal funding expires. The recipient shall be responsible for dismantling all equipment and returning the site to its original condition to the satisfaction of the site owner, unless other arrangements are made to the satisfaction of the site owner to retain the pilot plant equipment and approval has been received from the government.

Equipment ownership shall be in accordance with the requirements of 2

CFR 200.313.

Other Information Include in this section any additional information which is relevant to the application.

IV.C.7 Project Budget The project budget includes: (1) Budget Proposal, (2) Budget Narrative and (3) Budget Form.

Submission of a budget proposal and detailed budget narrative is mandatory.

An award will not be made to any applicant who fails to fully disclose this information.

Commitment letters from third party funding sources should be submitted with your project 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 a project 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.

Budget Proposal The project budget shall include detailed information on the categories listed below and must clearly identify all project costs. Unit costs shall be provided for all budget items including the cost of work to be provided by contractors.

Additionally, applicants shall include a narrative description of the items included in the project budget, including the value of in-kind contributions of goods and services provided to complete the proposed project. It is strongly advised that applicants use the budget proposal format shown below or a similar format that provides this information. If selected for award, successful applicants must submit detailed supporting documentation for all budgeted costs.

Table 1. Funding sources

Funding sources Percent of total project cost

Total cost by source Recipient funding $ - Reclamation funding $ - Other Federal funding $ - Totals 0% $ -

Table 2. Sample budget proposal format

Budget item description

Computation Quantity type

(hours/days)

Total cost

$/Unit

Quantity Salaries and wages

Employee 1 $ - Employee 2 $ - Employee 3 $ -

Fringe benefits Full-time employees $ - Part-time employees $ -

Travel Trip 1 $ - Trip 2 $ - Trip 3 $ -

Equipment Item A $ - Item B $ - Item C $ -

Supplies/materials Item A $ - Item B $ -

Contractual/constructi on

Contractor A $ - Contractor B $ -

Other Reporting $ -

Total direct costs $ - Indirect costs - % Total project costs $ -

This is only a sample budget proposal format. You may use this format or submit the information in a different format which provides a detailed break-down of costs and justification for budgets presented in the SF-424A.

Contracts should be broken out into specific line items. You may attach a separate, detailed budget for each contract to adequately address all contractor budget items.

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 of goods and services and sources of funds provided to complete the proposed project. The types of information to describe in the narrative include, but are not limited, to those listed in the following subsections.

Salaries and Wages Indicate program manager and other key personnel by name and title. Other personnel may be indicated by title alone. For all positions, indicate salaries and wages, estimated hours or percent of time, and rate of compensation proposed.

The labor rates should identify the direct labor rate separate from the fringe rate or fringe cost for each category. All labor estimates, including any proposed subcontractors, shall be allocated to specific tasks as outlined in the recipient’s technical project description. Labor rates and proposed hours shall be displayed for each task.

Include estimated hours for compliance with reporting requirements, including final project and evaluation. Clearly identify any proposed salary increases and the effective date.

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 Indicate 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 Itemize costs of all equipment having a value of over $5,000 and include information as to the need for this equipment, as well as how the equipment was priced if being purchased for the agreement. 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 for the project. If equipment currently owned by the applicant is proposed for use under the proposed project, and the cost to use that equipment is being included in the budget as in-kind cost share, provide the rates and hours for each piece of equipment owned and budgeted.

These should be ownership rates developed by the recipient for each piece of equipment. If these rates are not available, the U.S. Army Corp of Engineer’s recommended equipment rates for the region are acceptable. Blue book, Federal Emergency Management Agency (FEMA), and other data bases should not be used.

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 (e.g., quotes, past experience, engineering estimates, or other methodology).

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

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 what it will be used for. No profit or fee will be allowed.

Indirect Costs Show the proposed rate, cost base, and proposed amount for allowable indirect costs. It is not acceptable to simply incorporate indirect rates within other direct cost line items.

If the applicant has separate rates for recovery of labor overhead and general and administrative costs, each rate shall be shown. The applicant should propose rates for evaluation purposes, which will be used as fixed or ceiling rates in any resulting award. Include a copy of any federally approved indirect cost rate agreement. If a federally approved indirect rate agreement is not available, provide supporting documentation for the rate. This can include a recent recommendation by a qualified certified public accountant (CPA) along with support for the rate calculation.

If the applicant has never received a Federal negotiated indirect cost rate, the budget may include a de minimis rate of 10 percent of modified total direct costs.

For further information on modified total direct costs, refer to 2 CFR Part 200 available at www.ecfr.gov.

If you do not have a federally approved indirect cost rate agreement and is proposing a rate greater than the deminimis 10 percent rate, include the computational basis for the indirect expense pool and corresponding allocation base for each rate. Information on “Preparing and Submitting Indirect Cost Proposals” is available from the Interior Business Center, Indirect Cost Negotiation Services, at < https://www.doi.gov/ibc/services/finance/indirect-cost-services>.

Total Costs Indicate total amount of project costs, including the Federal and non-Federal cost-share amounts.

Budget Form In addition to the above-described budget information, the applicant must complete an SF-424A, Budget Information—Nonconstruction Programs, or an SF-424C, Budget Information—Construction Programs. These forms are available at <http://apply07.grants.gov/apply/FormLinks?family=15>.

http://www.ecfr.gov/ http://www.doi.gov/ibc/services/finance/indirect-cost-http://www.doi.gov/ibc/services/finance/indirect-cost-http://apply07.grants.gov/apply/FormLinks?family=15

Section V. Application Review Information

Phase 2 ARC Review

Provide recommendations to Commissioners Office

Technical review of Phase 2 responses

Section V. Application Review Information

V.A. Section Review and Selection Process The government reserves the right to reject any and all applications which do not meet the requirements of this FOA and which are determined to be outside the scope of the DPWR program. Awards will be made to the responsible applicants submitting applications which conform to the FOA and are most advantageous to the government, considering the factors and any significant subfactors listed above. The evaluation process will be comprised of three levels of review as described in the rest of this section. .

The first level screening is to ensure eligibility. The second level review (technical review) will be implemented in two phases, as shown in Figure 1. All proposals will be evaluated in the first phase. A group of proposals will be selected in phase 1 to move forward to phase 2, based on the Application Review Committee’s (ARC) recommendations. All applicants will be notified of their proposal status at the end of phase 1 and will either move onto phase 2 or will be notified that they have not been selected for phase 2.

Figure 1. Two phase review process for the second-level evaluation.

DWPR Award Selections Announced Letters sent to proposals not selected for award

Phase 1 ARC Review

Letters sent to proposals not selected for phase 2

Selected proposals receive feedback from ARC for revision

Technical review to select best proposals for phase 2

Open DWPR FOA Competition

V.A.1. First-Level Screening All applications will be screened to ensure that:

• The application meets the requirements of the FOA, including submission of technical and budget proposals, a funding plan, and related forms that are prepared in accordance with the instructions stated in Section 4 of this document.

• The proposed pilot project is within the scope of the DWPR program and the scope of the eligible activities identified in this FOA. The application must contain a properly executed SF-424 Application for Financial Assistance and a form SF-424B, Assurances—Non-Construction Programs.

• At least 50 percent of the cost of the pilot project is being cost shared by the applicant.

• The applicant meets the eligibility requirements stated in Section III “Eligibility Information.”

• Pilot projects should be accomplished within 25 months.

An application must pass all first-level screening criteria to be forwarded for further consideration at the second-level evaluation phase.

V.A.2. Second-Level Evaluation (Technical Review) The technical review will be conducted in two phases. In phase 1, all applications will be scored against the evaluation criteria in Section V.B. “Evaluation Criteria” by an Application Review Committee (ARC) comprised of experts in relevant disciplines. The ARC will make recommendations for a select group of applications to proceed to phase 2. All other applications will receive a notification that their proposal has not made it to phase 2 based on the ARC’s review.

The ARC will provide comments and feedback to the selected group of applications that will be moving forward to phase 2. These applicants will have an opportunity to review the comments and address them via memorandum or letter format. The memorandum or letter will be submitted to Reclamation by the applicant for further review and the ARC will score all selected applications against the evaluation criteria in Section V.B and make a final recommendation to the management team. Submission to phase 1 is required for phase 2 consideration.

It is highly recommended for applications that have been selected for phase 2 to review the ARC’s comments, revise and resubmit the proposal. If Reclamation does not receive a a memorandum or letter with adequate responses, the original submitted application for phase 1 will be used to score against all other submitted phase 2 revised applications.

In addition to addressing the ARC comments, applicants that proceed to phase 2 will be required to submit detailed supporting documentation for all costs…