FOA-FY19 Pitch to Pilot-.pdf

U.S. Department of the Interior Bureau of Reclamation Research and Development Office Denver, Colorado April 2019

Funding Opportunity Announcement No. BOR-DO-19-F017

Desalination and Water Purification Research Program Pitch to Pilot for Fiscal Year 2019

Mission Statements

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

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

Cover photo: Reclamation’s Expeditionary Unit Water Purifier in 2011.

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-F017

Catalog of Federal Domestic Assistance Number:

15.560

Dates:

(See FOA Sec. D.4)

Application due date:

Phase I: June 25, 2019, at 4:00 p.m. Mountain Daylight Time Phase II for selected applicants: August 28 - 29, 2019, at Reclamation’s Brackish Groundwater National Desalination Research Facility (BGNDRF)1

Eligible Applicants:

(See FOA Sec. C.1)

Individuals/entrepreneurs, institutions of higher education, profit organizations, State and local governmental entities, non-profit organizations, federally-funded Research and Development Centers, and Indian tribal governments and organizations.

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. C.2)

No cost share is required but highly encouraged

Federal Funding Amount:

(See FOA Sec. B.1)

Up to $150,000 per applicant

Estimated Number of Agreements to be Awarded:

(See FOA Sec. B.1)

4 to 6

1 Submission to Phase I is required for Phase II consideration. If the applicant is not present for Phase II, the proposal is automatically disqualified from proceeding further and will be ineligible for an award. Reclamation will be able to provide funding for invitation travel for one representative to attend the in-person meeting in Alamogordo, New Mexico up to a maximum of $3,000 total for lodging and travel expenses.

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Application Checklist iii

Application Checklist

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

What to submit

Required content

Form or format

When to submit

Mandatory Federal Forms:

Application for Federal Financial Assistance

Budget Information

Assurances

Disclosure of Lobbying Activities

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

Title page See Sec. D.2.2.2 * Table of contents See Sec. D.2.2.3 * Technical proposal: * Executive summary See Sec. D.2.2.4 * Technical approach See Sec. D.2.2.4 *

Evaluation criteria See Sec. E.1 * Unique Entity Identifier and

System for Award Management

See Sec. D.3 Page 14 ***

* Submit materials with your application.

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

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

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

Acronyms and Abbreviations v

Acronyms and Abbreviations

ASAP Automated Standard Application for Payments ARC Application Review Committee BGNDRF Brackish Groundwater National Desalination Research Facility CE Categorical Exclusion CEC Categorical Exclusion Checklist CFR Code of Federal Regulations Department U.S. Department of the Interior DUNS Data Universal Number System DWPR Desalination and Water Purification Research Program EA Environmental Assessment EIS Environmental Impact Statement ESA Endangered Species Act FAPIIS Federal Award Performance Integrity Information System FOA Funding Opportunity Announcement FOIA Freedom of Information Act FONSI Finding of No Significant Impact FY fiscal year NEPA National Environmental Policy Act NHPA National Historic Preservation Act NOAA National Oceanic and Atmospheric Administration P.L. Public Law QA/QC quality assurance/quality control SAM System for Award Management SPOC Single Point of Contact Reclamation Bureau of Reclamation U.S.C. United States Code USFWS U.S. Fish and Wildlife Service WIIN Water Infrastructure Improvements for the Nation

Contents vii

Contents

Page Section A. Funding Opportunity Description

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

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

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

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

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

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

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

Section A: Funding Opportunity Description

Section A. Funding Opportunity Description

A.1. Program Information The United States Department of the Interior (Department), Bureau of Reclamation’s (Reclamation) Desalination and Water Purification Research Program (DWPR) works with Reclamation researchers and partners to develop innovative, cost-effective, and technologically efficient ways to desalinate and treat water. By providing financial assistance to such research and technology innovation, the DWPR program supports Department’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. The program’s funded activities support the following Reclamation key goals for 2019:

(1) Increase water supplies, storage, and reliability under the Water Infrastructure Improvements for the Nation (WIIN) Act and other authorities to benefit farms, families, businesses, and fish and wildlife; and

(2) Leverage science and technology to improve water supply reliability to communities.

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. The goal of the DWPR program is to address the need to reduce the costs, energy requirements, and environmental impacts of treating impaired and unusable water. DWPR program activities further support multiple related initiatives related to the Water Subcabinet such as the Water Reuse Action Plan, Water Security Grand Challenge, and the Presidential Memorandum promoting reliable water supplies and deliveries.

Submission to Phase I is required for Phase II consideration. If the applicant is not present for Phase II, the proposal is automatically disqualified from proceeding further and will be ineligible for an award. Reclamation will be able to fund invitational travel for one representative to attend the in-person meeting in Alamogordo, New Mexico up to a maximum of $3,000 total for lodging and travel expenses.

For further information on the DWPR Program, see www.usbr.gov/research.

A.2. Objectives of this Funding Opportunity Announcement The objectives of this Funding Opportunity Announcement (FOA) are to develop innovative and disruptive new technologies or processes:

• At the pilot scale to treat brackish groundwater at a less energy-intensive way than current processes and technologies.

• At the pilot scale to reduce the high cost, energy usage, and/or environmental impacts of concentrate management for inland desalination.

• For desalination pretreatment to improve efficiency of treatment without increasing the total cost and energy usage of current systems.

• To address costs, energy usage, and/or environmental impacts of seawater desalination, including intakes and/or outfalls.

A.3. Statutory Authority This FOA is issued under the authority of the Reclamation Act of 1902, Sec.1 and Sec.2, and the Omnibus Public Land Management Act of 2009, Public Law 111- 11, Sec. 9509, Research Agreement Authority.

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.

http://www.usbr.gov/research

Section B: Award Information

Section B. Award Information

B.1. Total Project Funding The total amount of funding available for the DWPR Program in FY 2019 is $6.653 million for research. Reclamation anticipates awarding up to $1,000,000 for projects funded under this FOA. Applications submitted under this FOA also may be considered if additional funding becomes available in FY 2019 or thereafter.

B.2. Project Funding Limitations A total of up to $150,000 in Federal funds may be awarded to an applicant over an 18-month project. The funds provided through this FOA will be available for each agreement to design, construct the pilot unit, install, and test at an already known location with real water. Reclamation’s Brackish Groundwater National Desalination Research Facility (BGNDRF) in Alamogordo, New Mexico is available if a location for testing is needed. The number of awards and the aggregate amount awarded will be based on the quality of the applications received and congressional funding available.

B.3. Assistance Instrument Project awards will be made through cooperative agreements. The recipient should expect Reclamation to have substantial involvement in the project.

Substantial involvement by Reclamation may include:

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

• Oversight may include review, input, and approval at key interim stages of the project.

• 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 request of the recipient, Reclamation can provide technical assistance after award of the project. If you anticipate requesting Reclamation technical assistance, you must account for these costs in your budget. If BGNDRF is identified as a location for testing, there is no need to include any costs for energy, water, and space at BGNDRF, but costs for additional technical assistance if required need to be included. To discuss available assistance and these costs, contact the program coordinator identified in Section G. Agency Contacts.

Section C: Eligibility Information

Section C. Eligibility Information

C.1. Eligible Applicants Applicants eligible to receive an award to fund activities include:

• Individuals/entrepreneurs

• 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

• Non-profit organizations

Those not eligible include, but are not limited to:

• Federal Governmental entities

• Foreign entities

C.2. Cost Sharing Requirements Non-Federal cost share is not required but is encouraged. Cost sharing may be made through cash, third party in-kind contributions or combinations thereof. It is highly recommended that applicants consider identifying in their application any non-federal cost share if applicable. Cost share funding is an evaluation criterion, see Section E.1.9. Evaluation Criterion I — Non-Federal Cost Share. Third-party in-kind contributions is defined as the value of non-cash contributions of property or services that benefit the federally assisted project and are contributed by non- Federal third parties, without charge.

Cost share funding from sources outside the applicant’s organization (e.g., loans or state grants) should be secured and available to the applicant prior to award.

Other sources of Federal funding may not be counted towards 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 Public Law (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 be part of the total project cost and meet the applicable administrative and cost principles criteria established in 2 Code of Federal Regulations (CFR) Part 200, available at www.ecfr.gov.

C.2.2. Third Party In-Kind Contributions

Third-party in-kind contributions may be in the form of equipment, supplies, and other expendable property, as well as the value of services directly benefiting and specifically identifiable to the proposed project. The cost or value of third-party in-kind contributions that have already been or will be relied on to satisfy a cost-sharing or matching requirement for another Federal program (e.g., 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 Contributions and Donations for regulations regarding the valuation of third-party in-kind contributions, available at www.ecfr.gov.

C.3. Eligible Projects C.3.1 Eligible Projects

Eligible projects are pilot-scale technologies or processes that incorporate or are innovative and disruptive technologies involving flow rates above one gallon per minute and that need to 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 can be developed for capital and operation and maintenance costs. The description of the technology or process should identify the uniqueness and the disruptive nature of the technology or process itself and/or the testing of it.

C.3.2 Ineligible Projects

Ineligible projects 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.

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

Section C: Eligibility Information

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

• Proposals of work currently funded under an existing Reclamation financial assistance agreement.

• Proposals for the construction of permanent research facilities.

C.3.3 Length of Projects

In general, proposed projects should be completed within 18 months of award.

Applications for projects requiring more time will be considered for funding only under limited circumstances. Reasons for requiring additional time should be included in the application.

Section D: Application and Submission Information

Section D. Application and Submission Information

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

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

By mail: Bureau of Reclamation

Financial Assistance Support Section Attn: Ms. Julie J. Hendricks P.O. Box 25007, MS 84-27814 Denver, CO 80225-5007

By email: jhendricks@usbr.gov

By telephone: 303-445-2428

D.2. Content and Form of Application Submission All applications must conform to the requirements set forth below. There are two phases that comprise the application process.

Phase I: A technical proposal is required to be submitted in the required format and length as specified in Section D.2.1 Application Format and Length as well as with the required content further detailed in Section D.2.2. Application Content.

Phase II: A set of highly qualified applications from Phase I will be selected by the application review committee (ARC) to move to Phase II of the application process. The criteria described in Section E will be used to make that determination. Phase II applicants are required to prepare a PowerPoint presentation for an in-person pitch in-front of the ARC at Reclamation’s BGNDRF. The same evaluation criteria as described in Section E will be used to score Phase II as well.

D.2.1. Application Format and Length

The technical proposal and evaluation criteria section of the application shall be limited to a maximum of 8 consecutively numbered pages. If this section of the application exceeds 8 pages, only the first 8 pages will be evaluated. Other required application content will not count towards the page limitation. The font mailto:jhendricks@usbr.gov 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 limitation.

Excess pages will be removed and not considered in the evaluation of the proposed project.

D.2.2. Application Content

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

• Mandatory Federal Forms o SF-424 Application for Federal Assistance o SF-424A Budget Information Non-construction Programs o SF-424B Assurances Non-construction Programs o SF-LLL Disclosure of Lobbying Activities (if applicable) These forms may be obtained at www.grants.gov/web/grants/forms/sf-424-family.html

• Title page

• Table of contents

• Technical proposal and evaluation criteria (limited to 8 pages) o Executive summary o Technical approach and project activities o Research work plan and schedule (Gantt chart or similar) o Environmental impact o Quality assurance/quality control (QA/QC) plan o Dismantling plans o Evaluation criteria

• Summary slides

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

D.2.2.1. Mandatory Federal Forms The application must include the following standard Federal forms:

SF-424 Application for Federal Assistance

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

SF-424 Budget Information

A fully completed SF-424A Budget Information Non-Construction Programs 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. Questions regarding whether to use SF-424B should be referred to the Grants Management Point of Contact under Section G. Agency Contacts. 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 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 the DWPR Program.

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

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

D.2.2.4. Technical Proposal and Evaluation Criteria The technical proposal and evaluation criteria (8 pages maximum) include:

(1) Executive summary

(2) Technical approach and project activities

(3) Research work plan and schedule (Gantt chart or similar)

(4) Environmental impact

(5) QA/QC

(6) Dismantling plans

(7) Evaluation criteria

Executive Summary

The executive summary should include:

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

• A paragraph stating the problem to be solved and the proposed solution.

Include information on what is already known, either due to previous research done or literature review data found.

• A 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 and objectives of this FOA. Also include information on what success looks like for the proposed work and what does a commercialization path look like for this work.

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

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

Technical Approach and Project Activities

The technical project description should describe the technical approach and proposed research and testing activities to be conducted under the project. Include enough 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 assessing the severity of each problem.

Describe in detail the activities to be conducted, including the development of the technical report. The Final Report Template is at www.usbr.gov/research/ dwpr/DWPR_Reports.html.

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 staff levels and expertise, 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.

Clearly and concisely convey this schedule using a table, Gantt chart, project network diagram, or any other visual format.

The pilot testing should include obtaining a minimum one full month of non-disrupted data collection before the end of the agreement along with a final report of the findings which will be public information. Include time for reviewing and http://www.usbr.gov/research/dwpr/DWPR_Reports.html http://www.usbr.gov/research/dwpr/DWPR_Reports.html finalizing of the technical report. The information will be used to evaluate your understanding of the work requirement.

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 project. If any permits and licenses are required for this project, describe how they will be obtained if not obtained yet.

Quality Assurance and Quality Control Plan

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

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

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.

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.

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

D.2.2.5. Summary Slides Please include no more than two PowerPoint slides summarizing the proposed project. The slides must be submitted in Microsoft PowerPoint format and will be used during the evaluation process. The summary slides don’t have to follow any template but must have the following information:

• Project title, Principal Investigator, and their institution/company if applicable

• A technology summary

• An impact sentence of the proposed work

• Proposed goal(s)

• Any key graphics (picture, illustration, charts and/or tables)

• Requested Reclamation funds and any proposed non-Federal cost share if applicable

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 the System for Award Management (SAM) before submitting its application;

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

(iii) Maintain an active SAM registration with current information while having an active Federal award or during the period it has 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 obtain a unique entity identifier or complete registration by the application deadline, the unique entity identifier must be obtained, and 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 and, if an applicant has not fully complied with the requirements by the time the 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:

Phase I: Tuesday June 25, 2019 at 4:00 p.m. Mountain Daylight Time Phase II for selected applicants: August 28 - 29, 2019 at Reclamation’s BGNDRF in Alamogordo, New Mexico

Submission to Phase I is required for Phase II consideration. If the applicant selected for Phase II is not present for Phase II, the proposal is automatically disqualified from proceeding further and will be ineligible for an award.

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 for funding under this FOA may be subjected to a Freedom of Information Act (FOIA)request (5 United States Code [U.S.C.] Section 552, as amended by P.L. No. 110-175), and as a result, may be made publicly available.

D.4.1. Application Delivery Instructions

The application may be submitted electronically through Grants.gov (www.grants.gov) or a hard copy 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 or USPS Priority Mail Express:

Bureau of Reclamation

Financial Assistance Support Section Attn: Ms. Julie J. Hendricks P.O. Box 25007, MS 84-278140 Denver, CO 80225

All other express delivery:

Bureau of Reclamation mail services Attn: Ms. Julie J. Hendricks

Denver Federal Center Bldg. 67, Rm. 152 6th Avenue and Kipling Street Denver, CO 80225

By courier services:

Bureau of Reclamation Attn: Ms. Julie J. Hendricks Denver Federal Center Bldg. 56, Rm. 1000 6th Avenue and Kipling Street Denver, CO 80225

D.4.2. Instructions for Submission of Project Application

Each applicant should apply in accordance with the instructions contained in this section.

http://www.grants.gov/

D.4.2.1. Applications Submitted by Mail, Express Delivery or Courier Services Please follow these instructions to submit your application by mail, express delivery, or courier services.

• Applicants should submit one copy of all application documents for hardcopy submissions. Only use a binder clip for documents submitted.

Do not staple or otherwise bind application documents.

• Hard copy applications may be submitted by mail, express delivery, or courier services to the addresses identified in this FOA.

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

This does not apply to letters of support, funding commitment letters, or official resolutions.

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

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

D.4.2.2. Applications Submitted Electronically If the applicant chooses to submit an electronic application, it must be submitted through Grants.gov (www.grants.gov). Reclamation encourages applicants to submit their applications for funding electronically through the website:

www.grants.gov/applicants/apply-for-grants.html. Applicant resource documents and a full set of instructions for registering with Grants.gov (www.grants.gov).

and completing and submitting applications online are available at:

www.grants.gov/applicants/apply-for-grants.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 www.grants.gov/applicants/apply-for-grants.html. In addition, please note that the Grants.gov system only accepts applications submitted by individuals that are registered and active in SAM as both a user and an Authorized Organizational Representative.

• Applicants have 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 http://www.grants.gov/ http://www.grants.gov/applicants/apply-for-grants.html http://www.grants.gov/ http://www.grants.gov/applicants/apply-for-grants.html http://www.grants.gov/applicants/apply-for-grants.html http://www.grants.gov/applicants/apply-for-grants.html your attempt to apply 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 this FOA. Applications received after this date and time due to weather or express delivery/courier performance will not be considered for award. Late applications will not be considered unless it is determined that the delay was caused by Reclamation mishandling or by a problem with the Grants.gov application system. Please note that difficulties related to an applicant’s organizational representative or other issues with an applicant’s Grants.gov account are not considered problems with the Grants.gov system.

D.4.2.3. Acknowledgement of Application Receipt.

If an application is submitted by mail, express delivery, or courier, Reclamation will notify you in writing that your application was received.

If an application is submitted through Grants.gov, you will receive an email acknowledging receipt of the application from Grants.gov. In addition, Reclamation will notify you in writing whether your application was successfully downloaded from Grants.gov.

D.5. Intergovernmental Review This FOA is subject to Executive Order 12372, “Intergovernmental Review of Federal Programs.” A list of States that have elected to participate in the intergovernmental review process can be found at www.whitehouse.gov/omb/ management/office-federal-financial-management. Applicants in these states must contact their state's Single Point of Contact (SPOC) to find out about and comply with the state's process under Executive Order 12372. The names and addresses of the SPOCs are listed in the Office of Management and Budget's website, www.whitehouse.gov/omb/management/office-federal-financial-management.

D.6. Funding Restrictions: Pre-award Costs Project pre-award costs that have been incurred prior to the date of award may be submitted for consideration as an allowable reimbursable expense. In no case will pre-award costs incurred prior to a recipient’s notification of selection be considered for reimbursement or non-Federal cost-share purposes.

For example, such costs might include design or construction plans and environmental compliance costs directly supporting the proposed project.

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, the pre-award cost must comply with all http://www.whitehouse.gov/omb/management/office-federal-financial-management http://www.whitehouse.gov/omb/management/office-federal-financial-management http://www.whitehouse.gov/omb/management/office-federal-financial-management applicable requirements under this FOA, including all applicable administrative and cost principles criteria established in 2 CFR Part 200, available at www.ecfr.gov.

D.7. Automated Standard Application for Payments Registration All applicants must also be registered with and willing to 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 the appropriate Agency Location Code(s) and the Data Universal Number System (DUNS) Number prior to the award of funds. If a recipient has multiple DUNS numbers they must separately enroll within ASAP for each unique DUNS Number and/or Agency. All the information on the enrollment process for recipients, including the enrollment initiation form and the enrollment mailbox can be found at www.usbr.gov/mso/aamd/asap.html.

Note that if your entity is currently enrolled in the ASAP system with an agency other than Reclamation, you must enroll specifically with Reclamation to process payments.

http://www.usbr.gov/mso/aamd/asap.html

Section E: Application Review Information

Section E. Application Review Information

E.1. Technical Proposal: Evaluation Criteria The evaluation criteria portion should be addressed in the technical proposal section of the application. Applications should thoroughly address each criterion and any subcriterion in the order presented below. It is suggested that applicants copy and paste the below criteria and subcriteria into their applications to ensure that all necessary information is adequately addressed. Applications will be evaluated against the evaluation criteria listed below. If the work described in your application is a phase of a larger project, only discuss the benefits that will result directly from the work discussed in the technical project description and that is reflected in the budget, not the larger project.

Evaluation Criteria: Scoring Summary Points A. Impact of the proposed work 25 B. Alignment with Department priorities and Reclamation 2019 key goals 10

C. Demonstrate familiarity in the field of work 15 D. Relationship to DWPR objectives 10 E: Innovation and disruptiveness of the project 15 F: Readiness level 15 G: Adequacy, completeness, and realism of schedule 5 H: QA/QC Plan 5 I: Non-Federal cost share 10 Total 110

E.1.1. Evaluation Criterion A — Impact of the Proposed Work (25 points)

Impact of the proposed work on the field of water treatment and/or currently used technologies and on its related economics if a completely successful outcome were achieved. The impact can be measured by the promise of the solution and the problem it is addressing. Examples include energy and cost reduction, impact on water supply, and/or ease of use on operation of the technology.

E.1.2. Evaluation Criterion B — Alignment with Department Priorities and Reclamation 2019 Key Goals (10 points)

How the proposed work and/or technology development aligns with one or both identified Reclamation 2019 key goals listed in Section 1.2.1. Also, how it aligns with one or more of the Department’s priorities listed in Section A.1. Program

Information. It is not necessary to address priorities that are not applicable to the propose work and/or technology. Points will be allocated based on the degree to which the proposed work appears to support the identified Reclamation 2019 key goals and Department priorities based on information provided in the application.

E.1.2.1 Reclamation 2019 Key Goals The following list are the identified Reclamation 2019 Key Goals that are applicable for this funding opportunity announcement.

1) Increase water supplies, storage, and reliability under WIIN and other authorities to benefit farms, families, businesses, and fish and wildlife

2) Leverage science and technology to improve water supply reliability to communities

E.1.2.2 Department of the Interior Priorities The following list are the Department priorities that are applicable for this funding opportunity announcement.

1) Creating a conservation stewardship legacy second only to Teddy Roosevelt

a) Utilize science to identify best practices to manage land and water resources and adapt to changes in the environment

b) Examine land use planning processes and land use designations that govern public use and access

c) Revise and streamline the environmental and regulatory review process while maintaining environmental standards

d) Review Department water storage, transportation, and distribution systems to identify opportunities to resolve conflicts and expand capacity

e) Foster relationships with conservation organizations advocating for balanced stewardship and use of public lands

f) Identify and implement initiatives to expand access to Department lands for hunting and fishing

g) Shift the balance towards providing greater public access to public lands over restrictions to access

2) Utilizing our natural resources

a) Ensure American Energy is available to meet our security and economic needs

b) Ensure access to mineral resources, especially the critical and rare earth minerals needed for scientific, technological, or military applications

c) Refocus timber programs to embrace the entire ‘healthy forests’ lifecycle

d) Manage competition for grazing resources

3) Restoring trust with local communities

a) Be a better neighbor with those closest to our resources by improving dialogue and relationships with persons and entities bordering our lands

b) Expand the lines of communication with Governors, states natural resource offices, Fish and Wildlife offices, water authorities, county commissioners, Tribes, and local communities

4) Striking a regulatory balance

a) Reduce the administrative and regulatory burden imposed on U.S. industry and the public

b) Ensure that ESA decisions are based on strong science and thorough analysis

5) Modernizing our infrastructure

a) Support the White House Public/Private Partnership Initiative to modernize U.S. infrastructure

b) Remove impediments to infrastructure development and facilitate private sector efforts to construct infrastructure projects serving American needs

c) Prioritize Department infrastructure needs to highlight:

i) Construction of infrastructure

ii) Cyclical maintenance

iii) Deferred maintenance

E.1.3. Evaluation Criterion C — Demonstration of Familiarity in the Field of Work (15 points)

Demonstrate familiarity with the current technology in the field of work and understanding of the potential difficulties in carrying out the work. Reclamation is evaluating information that clearly states the problem being solved, how the proposed approach differs from current solutions, and the challenges identified that will be faced throughout testing and moving into commercialization.

E.1.4. Evaluation Criterion D — Relationship to DWPR Objectives (10 points)

Describe the relationship to one or more of the DWPR objectives shown in Section A.2. Points will be allocated based on the degree to which the proposed work appears to support one or more of the priorities listed based on information provided in the proposal. These objectives are separate from the ones identified in Section E.1.2 and must be addressed.

E.1.5. Evaluation Criterion E — Innovation and Disruptiveness of the Project (15 points)

Explain the innovation and disruptiveness of the project. The technology and/or process is innovative or identified as a disruptive technology in the water treatment industry. Disruptive technology is defined as a technology that displaces an established technology and shakes up the industry or a ground-breaking product or process that creates a completely new industry. Innovation or innovative is defined as new and/or original where the approach/process or technology is not being implemented at full scale in its intended use in the United States.

E.1.6. Evaluation Criterion F — Readiness Level (15 points)

Describe the readiness level. The concept must have been already been researched to some degree, and previous work must demonstrate that the proposed work is ready for the pilot level. The technology or process should be ready to be tested with real water and should be ready to come out of the laboratory/bench scale to be built and tested at the pilot scale.

E.1.7. Evaluation Criterion G — Adequacy, Completeness, and Realism of the Schedule (5 points)

Ensure that the adequacy, completeness, and realism of the schedule, task phasing, and milestones are well defined. The schedule is tied with tasks. Tasks are clearly identified and be realistic for accomplishment and completion within the period of 18 months.

E.1.8. Evaluation Criterion H — Quality Assurance/Quality Control Plan (5 points)

Demonstrate the sufficiency of proposed or existing procedures QA/QC protocols to be used throughout the project, including statistical data analysis, peer review, instrument calibration, etc.

E.1.9. Evaluation Criterion I — Non-Federal Cost Share (10 points)

Non-Federal cost share points will be awarded for voluntary committed non-federal cost share. A breakdown of these points by percentage of cost share for the total cost of the project is below.

Non-Federal Cost Share Percentage Points 0% 0 1% to 4% 1 5% to 10% 2 11% to 20% 4 21% to 35% 6 36% to 49% 8 50% plus 10

E.2. Review and Selection Process The Federal government reserves the right to reject any application that does not meet the requirements or objectives of this FOA. Awards will be made for projects most advantageous to the Federal Government. Award selection may be made to maintain balance among the eligible projects listed in this FOA. The evaluation process will be comprised of the steps described in the following subsections.

E.2.1. Initial Screening

All application packages will be screened to ensure that:

• The applicant meets the eligibility requirements stated in this FOA.

• The applicant meets the unique entity identifier and SAM registration requirements stated in this FOA (this may be completed up to 30 days after the application deadline).

• The application conforms to page limitations.

• The application meets the content requirements of the FOA package, including submission of a technical proposal, including responses to the evaluation criteria, a funding plan, budget proposal, and budget narrative.

• The application contains a properly executed SF-424, Application for Financial Assistance and form SF-424B, Assurances Non-Construction Programs, and a completed SF-424A, Budget Information Non- Construction Programs.

Reclamation reserves the right to remove an application from funding consideration if it does not pass all Initial Screening criteria listed above. An applicant that has submitted an application that is determined to be ineligible for funding will be notified along with other applicants, or sooner, if possible.

E.2.2. Application Review Committee

Evaluation criteria will comprise the total evaluation weight as stated in the Section E.1 Evaluation Criteria. Application Review Information. Applications will be scored against the evaluation criteria by an ARC, made up of experts in relevant disciplines selected from across Reclamation and other Federal agencies.

The ARC will also review the application to ensure that the Project meets the description of eligible projects and meets the objective of this FOA.

The ARC will make recommendations for a select group of applications to proceed to Phase II. The ARC will provide comments and feedback to the selected group of applications that will be moving forward to Phase II. These applicants will have an opportunity to review the comments and prepare for an in-person meeting with the ARC to discuss their proposal. The applicants will be invited to attend this in-person review at the BGNDRF in Alamogordo, New Mexico. Each applicant will be provided a tour of the BGNDRF facility prior to their meeting with the judging panel. Each applicant will have 1 hour to explain their proposal to the ARC as well as an opportunity to address the comments provided. The ARC will then score all selected applications against the evaluation criteria in Section E.1. and make a final recommendation.

Submission to Phase I is required for Phase II consideration. If the applicant is not present for Phase II, the proposal is automatically disqualified from proceeding further and will be ineligible for an award. Reclamation will be able to fund invitational travel for one representative to attend the in-person meeting in Alamogordo, New Mexico up to a maximum of $3,000 total for lodging and travel expenses.

During the Phase I ARC review, Reclamation may contact applicants to request clarifications to the information provided, if necessary.

E.2.3. Red-Flag Review

After Phase II is completed and following the results of the ARC review, Reclamation offices will review the top- ranking applications and will identify any reasons why a proposed project would not be feasible or otherwise advisable, including environmental or cultural resources compliance issues, permitting issues, legal…