DWPR FOA FY19 V090718_508_FINAL.pdf

Funding Opportunity Announcement No. BOR-DO-19-F001

Desalination and Water Purification Research Program for Fiscal Year 2019

U.S. Department of the Interior Bureau of Reclamation Research and Development Office Denver, Colorado

September 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.

Cover photo:Yuma Desalting Plant in Yuma, AZ.

Synopsis

Synopsis

Federal Agency Name: Department of the Interior, Bureau of Reclamation, Research and Development Office

Funding Opportunity Title: Desalination and Water Purification Research Program for fiscal year (FY) 2019

Announcement Type: Funding Opportunity Announcement (FOA)

Funding Opportunity Number:

BOR-DO-19-F001

Catalog of Federal Domestic Assistance (CFDA) Number:

15.506

Dates:

(See FOA Sec. D.4)

Application due date: Thursday, December 13, 2018, 4:00 p.m. Mountain Standard Time (MST)

Eligible Applicants: Individuals, institutions of higher education, profit organizations, (See FOA Sec. C.1) State and local governmental entities, non-profit organizations, Federally-funded Research and Development Centers, United States-Mexico binational research foundations and interuniversity research programs, and Indian tribal governments and organizations.

Foreign entities are not eligible for funding under the authorizing legislation for this program, except for the United States-Mexico binational entities as mentioned above.

Federal agencies are not eligible to apply.

Recipient Cost Share: For institutions of higher education and for United States-Mexico (See FOA Sec. C.2) binational research foundations and inter-university research programs, non-Federal cost share is not required but highly encouraged.

All other applicants must provide at least 75 percent non-Federal cost share. This may be reduced if it is determined that the project is not feasible without increased Federal contributions.

Under no circumstances will the Federal share of projects funded under this FOA exceed 50 percent of the total project costs.

Federal Funding Amount: The President’s FY 2019 budget request includes $1.753 million (See FOA Sec. B.1) for research under the DWPR program. Reclamation anticipates awarding up to $1,200,000 for projects funded under this FOA.

Funding Group I: Laboratory Scale projects. Up to $150,000 per applicant

Funding Group II: Pilot Scale projects. Up to $200,000 per applicant per year, for a total of up to $400,000 over two years

Estimated Number of Funding Group I: Laboratory Scale projects. It is expected that Agreements to be more awards will be made for projects in this funding group than Awarded: Funding Group II (See FOA Sec. B.1) Funding Group II: Pilot Scale projects. It is expected that only a small number of awards will be made for projects in this funding Group.

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Application Checklist

Application Checklist

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

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

Mandatory Federal Forms:

Application for Federal Financial Assistance

Budget Information

Assurances

See Sec. D.2.2.1 SF-424, SF-424A, and SF-424B forms may be obtained at www.grants.gov/web/grants/forms/sf-424-family.html

Title page See Sec. D.2.2.2 *

Table of contents See Sec. D.2.2.3 *

Technical proposal:

Executive summary

Background

Technical approach/Project Activities

Research work plan and schedule

Environmental impacts

Evaluation criteria

See Sec. D.2.2.4

See Sec. E.1

Project Budget:

Funding plan & letters of commitment

Budget proposal

Budget narrative

See Sec D.2.2.5

Personnel Qualifications See Sec. D.2.2.6 *

Required Permits and Approvals See Sec. D.2.2.7 *

Letters of support See Sec. D.2.2.8 *

Unique Entity Identifier and System for Award Management

See Sec. D.3 Page 23 ***

* Submit materials with your application.

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

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Acronyms and Abbreviations

Acronyms and Abbreviations

ALC Agency Location Code

ARC Application Review Committee

ASAP Automated Standard Application for Payments

CFDA Catalog of Federal Domestic Assistance

CFR Code of Federal Regulations

CWA Clean Water Act

DOI United States Department of the Interior

DUNS Data Universal Number System

DWPR Desalination and Water Purification Research Program

ESA Endangered Species Act

FAPIIS Federal Award Performance Integrity Information System

FOA Funding Opportunity Announcement

FOIA Freedom of Information

FY fiscal year

MST Mountain Standard Time

NEPA National Environmental Policy Act

NHPA National Historic Preservation Act

QA/QC quality assurance and quality control

Reclamation Bureau of Reclamation

SAM System for Award Management v

Contents

Contents

Page Section A. Funding Opportunity Description

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

Section B. Award Information B.1. Total Program 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

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. Technical Proposal: Evaluation Criteria E.2. Review and Selection Process E.3. Federal Award Performance Integrity Information System E.4. Anticipated Announcement and Federal Award Date E.5. Department of the Interior’s Priorities

Section F: Federal Award Administration Information F.1. Federal Award Notices F.2. Administrative and National Policy Requirements F.3. Reporting Requirements and Distribution

Section G. Agency Contacts G.1. Financial Assistance Contact G.2. Program Administrator Contact vii

Section A: Funding Opportunity Description

Section A. Funding Opportunity Description

A.1. Program Information

The United States Department of the Interior (DOI), Bureau of Reclamation’s (Reclamation) Desalination and Water Purification Research Program (DWPR) works with Reclamation researchers and partners to develop more innovative, cost-effective, and technologically efficient ways to desalinate or treat water. By providing financial assistance to such research and technology innovation, the DWPR program supports the Department of the Interior’s priorities:

Creating a conservation stewardship legacy second only to Teddy Roosevelt

Utilizing our natural resources Restoring trust with local communities Striking a regulatory balance Modernizing our Infrastructure

DWPR funding plays a critical role in iterating an idea from the lab to a real-world demonstration, which yields products that serve the water treatment community and attract commercialization interest. Through DWPR, research sponsors partner with Reclamation 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.

DWPR’s goal is to increase water supplies by reducing the cost, energy consumption, and environmental impacts of treating impaired and otherwise unusable waters. This DWPR funding opportunity invites proposals to address any of the listed objectives from the following sources. Objectives from the Water Desalination Act of 1996 as amended by the Water Infrastructure Improvements for the Nation Act of 2016 are prioritized in this funding opportunity.

(1) Water Desalination Act of 1996 as amended by the Water Infrastructure Improvements for the Nation Act of 2016:

Reduce energy consumption and lower the cost of desalination

Reduce the environmental impacts of seawater desalination and develop technology and strategies to minimize those impacts

Improve existing reverse osmosis and membrane technology

Carry out basic and applied research on next generation desalination technologies, including improved energy recovery systems and renewable energy-powered desalination systems that could significantly reduce desalination costs

Develop and promote innovative desalination technologies, including concentrate management and chloride control

Study methods for the recovery of byproducts resulting from desalination to offset the costs of treatment and to reduce environmental impacts from those byproducts

Develop metrics to analyze the costs and benefits of desalination relative to other sources of water (including costs and benefits related to associated infrastructure, energy use, environmental impacts, and diversification of water supplies)

(2) Desalination: A National Perspective. Washington, D.C.: National Research Council of the National Academies, 2008:

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

Improve pretreatment for membrane desalination

Improve membrane system performance

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

(3) Water Reuse. Washington, D.C.: National Research Council of the National Academies, 2012:

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

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

Section A: Funding Opportunity Description

Objectives addressed by your proposal should be identified in your problem statement to support proposal evaluation under Evaluation Criterion A.3. in Section E. Technical Proposal: Evaluation Criteria 1. of this FOA. For further information on the DWPR Program see www.usbr.gov/research/dwpr.

A.2. Funding Opportunity Announcement Objective

This Funding Opportunity Announcement’s (FOA) objective is to invite private industry, universities, water utilities, and other research sponsors to submit proposals to cost share laboratory scale and pilot scale projects that address DWPR program goals and objectives.

Funding Group I: Laboratory scale projects are typically bench scale studies involving small flow rates (less than 2 gallons per minute). They are used to determine the viability of a novel process, new materials, or process modifications. Research at this stage often involves a high degree of risk and uncertainty.

Funding Group II: Pilot scale projects test a novel process at a sufficiently large scale to determine the technical, practical, and economic viability of the process and are generally preceded by laboratory studies (funded previously by DWPR or others) that demonstrate that the technology works.

A.3. Statutory Authority

Water Desalination Act of 1996 (Desalination Act) (Public Law [P.L.] 104-298), as amended by the Water Infrastructure Improvements for the Nation Act of 2016 (WIIN Act) (P.L. 114-322; Section 3801).

A.4. Other Related Funding Opportunities

WaterSMART: Water Reclamation Research under the Title XVI Water Reclamation and Reuse Program Water Reclamation Research under the Title XVI Water Reclamation and Reuse Program supports projects to apply commercially available water reclamation and reuse technologies in the 17 Western States.

www.usbr.gov/research/dwpr

Section B: Award Information

Section B. Award Information

B.1. Total Program Funding

The President’s fiscal year (FY) 2019 budget request includes $1.753 million for research under the DWPR program. Reclamation anticipates awarding up to $1,200,000 for projects funded under this FOA. However, as required by Section 3 of the Desalination Act, total funding awarded to institutions of higher education, including United States-Mexico binational research foundations and inter-university research programs established by the two countries is limited to $1,000,000, unless cost share at the levels described in Section C.2. of this FOA are met. Applications submitted under this FOA also may be considered if additional funding becomes available in FY 2019 or thereafter.

B.2. Project Funding Limitations

Federal funding is limited to the funding amounts identified below for each Funding Group. The number of awards made and the aggregate amount awarded will be based on the quality of the applications received and congressional funding available.

Funding Group I: Up to $150,000 in Federal funds per proposal will be available for laboratory scale projects under this funding group.

Funding Group II: Up to $400,000 in Federal funds per proposal will be available for pilot scale projects under this funding group. In general, this funding will be provided as follows – up to $200,000 for the first year and up to $200,000 for an optional second year for finalizing testing, justified modifications, and evaluation. Second year funding is not guaranteed and depends on congressional funding and adequate work completed in the first year.

B.3. Assistance Instrument

Awards made under this FOA will be made through cooperative agreements. The recipient should expect Reclamation to have substantial involvement in the project. Substantial involvement by Reclamation may include:

Coordination of contributions made by team members from the different partners

Evaluation of successes as each task is undertaken Suggested changes to tasks to accomplish project goals Review, input, and comment on draft and final research outcomes including the final project report

At the recipient’s request, Reclamation can provide technical assistance after award of the project. If you intend to request Reclamation technical assistance, you must account for these costs in your budget. To discuss available assistance and these costs, contact the program administrator identified in Section G: Agency Contacts.

Section C: Eligibility Information

Section C. Eligibility Information

C.1. Eligible Applicants

Any responsible research sponsor is eligible to receive an award under this FOA, including:

Individuals Institutions of higher education Commercial or industrial organizations Private entities State and local governmental entities Federally-funded research and development centers Tribal governments and organizations United States-Mexico binational research foundations and inter-university research programs Non-profit organizations

Those not eligible include the following entities:

Federal governmental entities Foreign entities other than United States-Mexico binational research foundations and inter-university research programs

Applicants are encouraged to leverage the experience of international partners with considerable expertise in desalination, for example, the State of Israel, the Middle East Desalination Research Center, European Desalination Society, Centro de Investigaciones Energeticas, Medioambientales y Tecnologicas (CIEMAT) in Spain, and academic and public global institutions.

C.2. Cost Sharing Requirements

For institutions of higher education and for United States-Mexico binational research foundations and interuniversity research programs, non-Federal cost share is not required, but encouraged. For all other entity types, applicants must be capable of cost sharing 75 percent or more of the total research study costs.

In exceptional circumstances and upon request of the applicant, Reclamation may reduce the cost share requirement. Applicants seeking a reduced cost share must include a justification stating why the project would not be feasible without the increased contribution, and information regarding the financial capabilities of the applicant and project partners with their application. This documentation must demonstrate that the project is not feasible without such increased Federal contribution. Under no circumstances will the Federal share of projects funded under this FOA exceed 50 percent of the total project costs.

Cost sharing may be made through cash or third party in-kind contributions or donations. 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. Funding Plan and Letters of Commitment for more information regarding the documentation required to verify commitments to meet cost sharing requirements.

Other sources of Federal funding may not be counted towards the required cost share. The exception to this requirement is where the Federal statute authorizing a program specifically provides that Federal funds made available for such program can be applied to matching or cost sharing requirements of other Federal programs, such as awards to tribal organizations under P.L. 93-638, as amended.

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

C.2.1. Cost Share Regulations

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

C.2.2. Third-Party In-Kind Contributions and Donations

Third-party in-kind contributions and donations constitute the value of noncash contributions by non-Federal entities other than the recipient 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 identifiable to the proposed project.

The cost or value of third-party 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. 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 that address the DWPR program goals and objectives are eligible for funding under this FOA.

http:www.ecfr.gov

Section C: Eligibility Information

Funding Group I: Laboratory Scale projects Eligible laboratory scale projects are typically bench scale studies involving small flow rates less than two gallons per minute. Laboratory projects are used to determine the viability of a process, improved and/or new materials and process modifications. Research at this stage often involves a high degree of risk and uncertainty.

Funding Group II: Pilot Scale projects Pilot scale projects eligible for funding under this FOA should involve flow rates above one gallon per minute and should be tested using natural water sources rather than synthetic or laboratory-made feed water. These projects are typically used to determine the technical, practical, and/or economic ability of a process.

Preliminary costs are also developed for capital and operation and maintenance costs.

C.3.2. Ineligible Projects

Projects not eligible for funding under this FOA include, but are not limited to:

Proposals for research on projects that are part of a congressionally authorized Title XVI project under Title XVI Water Reclamation and Reuse. A list of congressionally authorized Title XVI projects is at www.usbr.gov/watersmart/title/authorized.html.

Proposals for research on projects that are part of an approved Title XVI Feasibility Study under Title XVI Water Reclamation and Reuse:

Desalination and Water Recycling Feasibility Studies. A list of approved Title XVI feasibility studies is at www.usbr.gov/watersmart/title/ feasibility.html.

Proposals for research projects developing technologies or processes currently implemented and being used in a United States water treatment facility under the same intent of use as proposed.

Proposals for the construction of permanent research facilities.

C.3.3.Length of Projects

In general, proposed laboratory scale projects should be completed within 18 months of award and pilot scale projects should be completed within 24 months of award; including the required project presentation (see Section F.3. Reporting Requirements). Applications for projects requiring more time will be considered for funding only under limited circumstances.

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

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. Janeen Koza P.O. Box 25007, MS 84-27814 Denver, CO 80225

By e-mail: jkoza@usbr.gov

By telephone: 303-445-3446

D.2. Content and Form of Application Submission

All applications must conform to the requirements set forth below. Please carefully evaluate the program goals and objectives in Section A.1. Program Information. However, the value to this program of any other tasks proposed must be substantiated in your proposal.

D.2.1. Application Format and Length

The technical proposal and evaluation criteria section (defined below) of application package shall be limited to a maximum of 20 (twenty) consecutively numbered pages. If this section of the application exceeds 20 pages, only the first 20 pages will be evaluated. Other required application content will not count towards the page limitation. The font shall be at least 12 points in size and easily readable. Page size shall be 8½ by 11 inches, including charts, maps, and drawings. Margins should be standard 1 inch margins. Oversized pages will not be accepted.

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

D.2.2. Application Content

The application must include the following elements to be considered complete:

Mandatory Federal Forms (will not count toward the page limitation) o SF-424 Application for Federal Assistance o SF-424A, Budget Information Non-construction Programs o SF-424B Assurances Non-construction Programs o SF-LLL Disclosure of Lobbying Activities (if applicable)

These forms are 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/introduction o Technical approach and project activities o Research work plan and schedule o Quality assurance/quality control (QA/QC) o Facilities and equipment information o Environmental impacts o Evaluation criteria

Project budget o Funding plan o Letters of commitment o Budget proposal o Budget narrative

Personnel qualifications

Required permits or approvals

Letters of support

Request for increase in Federal cost share justification, if applicable

Summary Slide - see Section D.2.2.10 for additional information.

D.2.2.1. Mandatory Federal Forms

The application must include the following standard Federal forms.

SF-424 Application for Federal Assistance

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

http:D.2.2.10 www.grants.gov/web/grants/forms/sf-424-family.html

SF-424 Budget Information

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 shall 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. 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 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 technical proposal should 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 from other federal government agencies.

The technical proposal and evaluation criteria (20 pages maximum) includes:

(1) Executive summary

(2) Background/introduction

(3) Technical approach and project activities

(4) Research work plan and schedule

(5) QA/QC program

(6) Facilities and equipment information

(7) Environmental impacts

(8) Evaluation criteria

Executive Summary

The executive summary should include:

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

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

The length of time and estimated completion date for the proposed project

Background/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? Please summarize the DWPR priorities identified in Section A.1. Program Information that you are addressing or a justification for addressing other problems in this section.

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 you or anyone else conducted similar projects? If so, how successful have these projects been?

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 and Project Activities

This section should describe the technical approach and proposed research activities to be conducted under the project and include 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 the various problems and assessment of the severity of each problem.

Describe in detail the activities to be conducted, including the development of the technical report. For each activity, 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 activity.

Research Work Plan and Schedule

Provide a research work plan based on the technical approach and project activities. The research work plan should include a schedule showing individual tasks with significant milestones identified for the work to be accomplished. The work plan should also identify work-hour requirements for each task or phase, including time for the preparation, submission, and approval of required data and reports. Clearly and concisely convey this schedule using a table, Gantt chart, project network diagram, or any other visual format. Include time for review and finalization of the technical report. The Final Report Template is at www.usbr.gov/research/dwpr/DWPR_Reports.html. The information will be used to help evaluate your understanding of the work requirement.

Clearly identify 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 a description of the work anticipated to be performed under any subcontract.

Quality Assurance and Quality Control Program

Identify the proposed procedures for QA/QC protocols to be used throughout the project including statistical data analysis, peer review, instrument calibration, etc.

If a QA/QC program already exists in your institution, provide a summary of the program and provide additional information as needed to address the use of the program for your proposed project.

Facilities and Equipment Information

Describe the facilities where the work will 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 cannot be accomplished without it.

Information on alternative sources considered for the equipment should also be included.

Environmental Impacts

Describe any potential environmental benefits or adverse impacts of the proposed work and plans for disposal of wastes if any result from the project. If any permits and licenses are required for this project, describe how they will be obtained.

Evaluation Criteria

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

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.

www.usbr.gov/research/dwpr/DWPR_Reports.html

D.2.2.5. Project Budget

The project budget includes:

(1) Funding plan and letters of commitment

(2) Budget proposal

(3) Budget narrative

Funding Plan and Letters of Commitment

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

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

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

The amount of funding commitment The date the funds will be available to the applicant Any time constraints on the availability of funds Any other contingencies associated with the funding commitment

Commitment letters from third-party funding sources should be submitted with your 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 an award under this FOA until the recipient has secured non-Federal cost-share. Reclamation will execute a financial assistance agreement once non-Federal funding has been secured or Reclamation determines that there is sufficient evidence and likelihood that non-Federal funds will be available to the applicant subsequent to executing the agreement.

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

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

Any third party in-kind costs or donations

Any funding requested or received from other non-Federal entities.

Any pending funding requests that have not yet been approved, and explain how the project will be affected if such funding is denied.

Any funding requested or received from other Federal partners

Note: other sources of Federal funding may not be counted towards the required cost share unless otherwise allowed by statute. If it is determined that the Federal funding cannot be counted towards the non-Federal cost share, the work associated with the funding must be removed from the proposed project.

In addition, please identify any project costs that have been or may be incurred prior to award that you would like to be considered for approval as a pre-award project cost. For each cost, describe:

o The project expenditure and amount o The date of cost incurrence o How the expenditure benefits the Project

Note: Approval of pre-award costs is at the discretion of the awarding Grants Officer. The Grants Officer must determine that the proposed pre-award costs meet the applicable administrative and cost principles criteria established in 2 Code of Federal Regulations (CFR) Part 200, available at www.ecfr.gov., including, but not limited to, the Procurement Standards (2 CFR §§200.317 through 200.326) and Contract cost and price (2 CFR §200.323).

Budget Proposal

The budget proposal should include detailed information on the categories listed below and must clearly identify all project costs, including those that will be contributed as non-Federal cost share and those that will be covered using the funding requested from Reclamation. Unit costs must be provided for all budget items, including the cost of work to be provided by consultants or contractors.

The budget proposal should also include any third-party in-kind contributions of goods and services provided to complete the project. The budget should include the mandatory trip to provide a final presentation at Reclamation’s office in Lakewood, Colorado towards the end of the project. The budget should not include any construction costs of permanent research facilities. It is strongly advised that applicants use the budget proposal format shown below in Table 1 or a similar format that provides this information. If selected for award, successful applicants must submit detailed supporting documentation for all budgeted costs.

Note: The budget proposal must include all project costs. Costs not included in the budget proposal are not eligible to be applied as non-Federal cost share.

Table 1.—Sample Budget Proposal Format

BUDGET ITEM DESCRIPTION

COMPUTATION Quantity

Type

TOTAL

COST$/Unit Quantity

Salaries and Wages

Employee 1 $

Employee 2 $

Employee 3 $

Fringe Benefits

Full-Time Employees $

Part-Time Employees $

Travel

Lakewood, Colorado for presentation

Trip 2 $

Trip 3 $

Equipment

Item A $

Item B $

Item C $

Supplies and Materials

Item A $

Item B $

Contractual/Construction

Contractor A $

Contractor B $

Other

Other $

TOTAL DIRECT COSTS $

Indirect Costs

Type of rate percentage $base $

TOTAL ESTIMATED PROJECT COSTS $

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 third-party in-kind contributions or donations of goods and services. The types of information to describe in the narrative include, but are not limited to, those listed in the following subsections. Costs, including the valuation of third-party in-kind contributions and donations, must comply with the applicable administrative regulations and cost principles contained in 2 CFR Part §200, available at the Electronic Code of Federal Regulations (www.ecfr.gov). In particular, the procurement of goods and/or services must be compliant with the Procurement Standards (2 CFR §200.317 through §200.326) and contract costs must be compliant with 2 CFR §200.323 – Contract Cost and Price.

Salaries and Wages

Indicate Project Manager and other key personnel by name and title. For entities, the Project Manager must be an employee or Board Member of the applicant.

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

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

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

Fringe Benefits

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

Travel

A maximum of one conference attendance for up to two people can be included in the budget proposal. Any additional conferences would have to be covered by the applicant and may not be applied as non-Federal cost share. For the project presentation, up to two people can be included in the budget to travel to Lakewood, Colorado to present your final findings. In general, this trip should only include lodging for one night.

For all other travel anticipated to occur for your proposed project, identify the purpose of each trip, the 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.

Equipment

If special-purpose equipment will be purchased or manufactured, itemize all equipment valued at or greater than $5,000. For each item, identify why it is needed for the completion of the Project and how the equipment was priced (i.e.

quotes, past experience, engineering estimates, or other methodology). Note: if the value is less than $5,000, the item should be included under materials and supplies.

If equipment is being rented, specify the rental duration and rate. Local rental rates are only accepted for equipment actually being rented or leased.

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, invoice from a similar previous project, engineering estimates, or other methodology).

Contractual

Identify all work that will be accomplished by third-party contributors, consultants, or contractors, including a breakdown of all tasks to be completed, and a detailed budget estimate of time, rates, supplies, and materials that will be required for each task. For each proposed contract, identify the procurement method that will be used to select the consultant or contractor and the basis for selection.

Environmental and Regulatory Compliance Costs

If the proposed project includes ground disturbing activities, the applicant must include a line item in the budget to cover environmental compliance costs.

“Environmental compliance costs” refer to costs incurred by Reclamation and the recipient in complying with environmental regulations applicable to an award under this FOA, including costs associated with any required documentation of environmental compliance, analyses, permits, or approvals. Applicable Federal environmental laws could include National Environmental Policy Act (NEPA), Endangered Species Act (ESA), National Historic Preservation Act (NHPA), Clean Water Act (CWA), and other regulations depending on the project. Such costs may include, but are not limited to:

The cost incurred by Reclamation to determine the level of environmental compliance required for the project

The cost incurred by Reclamation, the recipient, or a consultant to prepare any necessary environmental compliance documents or reports

The cost incurred by Reclamation to review any environmental compliance documents prepared by a consultant

The cost incurred by the recipient in acquiring any required approvals or permits, or in implementing any required mitigation measures

The amount of the line item should be based on the actual expected environmental compliance costs for the project, including Reclamation’s cost to review environmental compliance documentation. However, the minimum amount budgeted for environmental compliance should be equal to at least one to two percent of the total project costs. If the amount budgeted is less than one to two percent of the total project costs, you must include a compelling explanation of why less than one to two percent was budgeted.

How environmental compliance activities will be performed (e.g., by Reclamation, the applicant, or a consultant) and how the environmental compliance funds will be spent, will be determined pursuant to subsequent agreement between Reclamation and the applicant. The amount of funding required for Reclamation to conduct any environmental compliance activities, including Reclamation’s cost to review environmental compliance documentation, will be withheld from the Federal award amount and placed in an environmental compliance account to cover such costs. If any portion of the funds budgeted for environmental compliance is not required for compliance activities, such funds may be reallocated to the project, if appropriate.

Other Expenses

Any other expenses not included in the above categories should be listed in this category, along with a description of the item and why it is necessary. Profit and fees are not allowable.

Indirect Costs

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

If the applicant has never received a Federal negotiated indirect cost rate, the budget may include a de minimis rate of up to 10 percent of modified total direct costs. For further information on modified total direct costs, refer to 2 CFR §200.68 available at the Electronic Code of Federal Regulations www.ecfr.gov.

If the applicant does not have a federally approved indirect cost rate agreement and is proposing a rate greater than the de minimis 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 DOI, the National Business Center, and Indirect Cost Services, at www.doi.gov/ibc/services/finance/indirect-cost- services. If selected www.doi.gov/ibc/services/finance/indirect-cost for award, the applicant will be required to coordinate review and approval of the indirect cost rate with their cognizant agency within 9 months of award.

Total Costs

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

D.2.2.6. Personnel Qualifications

Provide the following information on personnel:

Identification of the 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 two pages maximum (to include education, experience, accomplishments, and other pertinent information) for all key personnel named.

D.2.2.7. Required Permits or Approvals

Applicants must state in the application whether any permits or approvals are required and explain the plan for obtaining such permits or approvals.

D.2.2.8. Letters of Support

Please include letters from interested stakeholders supporting the proposed project. To ensure your proposal is accurately reviewed, please attach all letters of support and/or partnership letters as an appendix. (Note: this will not count against the application page limit.) Letters of support and partnership letters received after the application deadline for this FOA will not be considered in the evaluation of the application.

D.2.2.9. Justification for Reduction in Non-Federal Cost Share Contribution

Please include adequate information as to why this project is not feasible without a reduction to the non-Federal cost share contribution. Information regarding the financial capabilities of the applicant and project partners should be included as well as any additional information that will support the claims being made by the applicant. Clearly state the reduced non-Federal cost share being requested. Under no circumstance will the non-Federal cost share be less than 50 percent of the total project costs.

D.2.2.10 Summary Slide

Please include a single PowerPoint slide summarizing the proposed project. The slide must be submitted in Microsoft PowerPoint format and will be used during the evaluation process. The summary slide doesn’t have to follow any particular template but it must have the following information:

Project title, Principal Investigator and their institution/company A technology summary A short description of the impact of the proposed work Proposed goals Any key graphics (picture, illustration, charts and/or tables) Requested Reclamation funds and proposed non-federal cost share

D.3. Unique Entity Identifier and System for Award Management

All applicants (unless the applicant is an individual or has an exception approved by Reclamation under 2 CFR §25.110[d]) are required to:

(i) Be registered in System for Award Management (SAM) before submitting its application;

(ii) Provide a valid unique entity identifier in its application; and

(iii) Continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency.

Meeting the requirements set forth above is mandatory. If the applicant is unable to provide a valid unique entity identifier or complete SAM registration by the application deadline, the valid unique entity identifier must be obtained and the SAM registration must be initiated within 30 days after the application deadline to be considered for selection and award.

Reclamation will not make a Federal award to an applicant until the applicant has complied with all applicable unique entity identifier and SAM requirements. If an applicant has not fully complied with the requirements by the time Reclamation is ready to make an award, Reclamation may determine that the applicant is not qualified to receive a Federal award and use that determination as a basis for making a Federal award to another applicant.

D.4. Submission Date and Time

Application submission date deadline:

Thursday December 13, 2018 at 4:00 pm Mountain Standard Time (MST) http:D.2.2.10

Proposals received after the application deadline will not be considered unless it can be determined that the delay was caused by Reclamation mishandling or by a problem with the Grants.gov application system.