FY 2022 DWPR NOFO_Final 508 Approved.pdf

Notice of Funding Opportunity No. R22AS00010

Desalination and Water Purification Research Program:

Research Projects

U.S. Department of the Interior June 2021

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

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

Cover photo: Yuma Desalting Plant in Yuma, Arizona (Reclamation).

Synopsis

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

Office Funding Opportunity Title:

Announcement Type:

Desalination and Water Purification Research Program (DWPR): Research Projects Notice of Funding Opportunity (NOFO)

Funding Opportunity Number:

R22AS00010

Catalog of Federal Domestic Assistance (CFDA) Number:

15.506

Dates:

(See Sec. D.4)

Application due date: Thursday, September 9th, 2021 at 4:00 p.m. Mountain Daylight Time (MDT)

Eligible Applicants:

(See Sec. C.1)

Individuals, 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 Sec. C.2)

For institutions of higher education non-Federal cost share is not required but highly encouraged.

All other applicants must provide at least 50 percent non-Federal cost share.

Federal Funding Amount:

(See Sec. B.1)

The President’s fiscal year (FY) 2022 budget request includes $7.85 million for research under the DWPR program.

Funding Group I: Laboratory Scale projects. Up to $250,000 per agreement for a project that can be completed within two years.

Funding Group II: Pilot Scale projects. Up to $800,000 per agreement for a project that can be completed within three years.

Estimated Number of Agreements to be Awarded:

(See Sec. B.1)

Reclamation anticipates awarding approximately 10 to 20 projects dependent upon available Federal appropriations.

It is expected that more awards will be made for Funding Group I: Laboratory Scale projects than Funding Group II: Pilot Scale projects and that only a small number of awards will be made for Funding Group II: Pilot Scale projects.

i

I I

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 Page 13 * Table of contents See Sec. D.2.2.3 Page 13 * 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 Page 22 * Letters of support See Sec. D.2.2.7 Page 23 * Unique Entity Identifier and System for Award Management

See Sec. D.3 Page 23 **

* Submit materials with your application.

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

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

I

Acronyms and Abbreviations

Acronyms and Abbreviations

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 Department 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 FOIA Freedom of Information FY fiscal year MDT Mountain Daylight Time MTDC modified total direct costs NEPA National Environmental Policy Act NHPA National Historic Preservation Act NOFO Notice of Funding Opportunity QA/QC Quality Assurance and Quality Control P.L. Public Law Reclamation Bureau of Reclamation SAM System for Award Management SPOC Single Point of Contact U.S.C. United States Code WaterSMART Sustain and Manage America's Resources for Tomorrow v

Section A. Funding Opportunity Description A.1. Program Information A.2. Objectives of this Notice of Funding Opportunity 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. 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. Financial Assistance Contact G.2. Program Administrator Contact

Contents

Contents Page vii

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 or treat water. DWPR aligns with Executive Order 14008, “Tackling the Climate Crisis at Home and Abroad,” by investing in development and application of advanced water treatment technologies that expand access to otherwise unusable water resources, thereby increasing water supply flexibility under the risks of long-term climate change and shorter-term drought. Investing in such technologies leads to development of climate-resilient, cost-effective, and low-impact solutions that bolster the ability of Reclamation, its customers, and stakeholders to cope with stresses of climate change.

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 and 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 program activities are also aligned with other Federal desalination and water treatment initiatives, including the National Water Reuse Action Plan and the U.S. Department of Energy’s Water Security Grand Challenge.

For further information on the DWPR Program see https://www.usbr.gov/research/dwpr.

A.2. Objectives of this Notice of Funding Opportunity This NOFO’s objective is to invite private industry, universities, water utilities, and other research sponsors to submit applications that address DWPR program goals and objectives through laboratory or pilot scale studies.

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 applicants to address any of the following objectives.

• 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 https://www.usbr.gov/research/dwpr

Notice of Funding Opportunity No. TBD

• Improve existing membrane technologies, including reverse osmosis

• 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)

• Assess environmental impacts from desalination intake, concentrate management approaches, and reclaimed water

• 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

• 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 to monitor process performance in reuse scenarios and develop online real-time or near real-time analytical monitoring techniques for their measurement

A.3. Statutory Authority This NOFO is issued under the authority of the Reclamation Act of 1902, §1 and 2, and the Omnibus Public Land Management Act of 2009, Public Law (P.L.) 111- 11, §9509, Research Agreement Authority.

Section A: Funding Opportunity Description

A.4. Other Related Funding Opportunities WaterSMART (Sustain and Manage America's Resources for Tomorrow) 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.

DWPR Pitch to Pilot. This funding opportunity supports projects at the pilot scale to develop innovative and disruptive new technologies or processes.

Section B: Award Information

Section B. Award Information

B.1. Total Program Funding The President’s fiscal year (FY) 2022 budget request includes $7.85 million for research under the DWPR program. Reclamation anticipates awarding approximately 10 to 20 projects dependent upon available Federal appropriations. Applications submitted under this NOFO also may be considered if additional funding becomes available in FY 2022 or thereafter.

B.2. Project Funding Limitations Federal funding is limited to the funding amounts identified below for each Funding Group. The number of selected awards and the total awarded funding will be based on the quality of the applications received and congressional funding available.

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.

Up to $250,000 in Federal funds per proposed project will be available under this funding group for projects that can be completed within two years.

Funding Group II: Pilot Scale projects test a novel process at a sufficiently large scale to determine the practicality of implementing the technology at a larger scale. Pilot studies are used to generate data that can be used to estimate the operational requirements (e.g., labor, chemical addition, power requirements) of the process and to show performance with respect to finished water quality goals. Pilot-scale projects are generally preceded by laboratory studies (funded previously by DWPR or others) that demonstrate that the technology works.

Up to $800,000 in Federal funds per proposed project will be available under this funding group for projects that can be completed within three years. Funding will be provided year by year; and, therefore, applicants should break out their funding requests annually in the proposed budget portion of the application. Funding after the first year is not guaranteed and will be made available based on adequate work completed in the previous year.

B.3. Assistance Instrument Awards made under this NOFO will be made through cooperative agreements. The recipient should expect Reclamation to have substantial involvement in the project. Substantial involvement by Reclamation may include actions to:

• Coordinate contributions made by different partners on the project team.

• Evaluate accomplishments as each task is completed.

• Suggest changes to tasks to accomplish project goals.

• Review, provide input, and comment on draft and final research deliverables including the final project report.

You may request technical assistance from Reclamation on your project tasks. If you receive Reclamation’s assistance, you must account for these costs in your budget. To discuss available assistance and Reclamation technical service 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 entity is eligible to receive an award under this NOFO, including:

• Individuals

• Institutions of higher education

• Profit organizations

• Private entities

• State and local governmental entities

• Entities that are an administrator of a federally funded research and development center

• Tribal governments and organizations

• Non-profit organizations

Those not eligible include:

• Federal governmental entities

• Foreign entities

Foreign entities are not eligible to apply to the program and receive funding directly. 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 in Spain, and academic and public global institutions.

C.2. Cost Sharing Requirements Non-Federal cost share is required for all applicants that are not designated as institution of higher education and must be capable of providing a 50% non-Federal cost-share of the total research study costs. Although a cost share is not required, it is encouraged that higher education institutions provide cost share for the project, and cost shares are evaluated in evaluation criteria.

Cost sharing may be made through cash or in-kind contributions from the applicant or third-party partners. Cost-share funding from sources outside the applicant’s organization (e.g., loans or State grants) should be secured and available to the applicant prior to award. Please see Section D.2.2.5.1

Funding Plan and Letters of Commitment for more information regarding the documentation required to verify commitments to meet cost sharing requirements.

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

C.2.2. In-Kind Contributions and Donations In-kind contributions and donations constitute the value of noncash contributions that benefit a federally assisted project. These contributions may be in the form of real property, equipment, supplies, and other expendable property, as well as the value of goods and services directly benefiting and specifically identifiable to the project or program. The cost or value of 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 NOFO; except where the Federal statute authorizing a program specifically provides that Federal funds made available for such program can be applied to matching or cost sharing requirements of other Federal programs, such as awards to tribal organizations under P.L.

93-638, as amended. Applicants should refer to 2 CFR §200.434 for regulations regarding the valuation of in-kind donations and contributions, available at www.ecfr.gov.

C.3. Eligible Projects

C.3.1. Eligible Projects Proposals that address the DWPR program goals and objectives are eligible for funding under this

NOFO.

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 NOFO 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 NOFO include, but are not limited to:

http://www.ecfr.gov/

Section C: Eligibility Information

• 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 (e.g., pilot testing a commercially available technology at a new location).

• Proposals for constructing permanent research facilities.

C.3.3. Length of Projects In general, laboratory-scale projects should be completed within 24 months of award and pilot-scale projects should be completed within 36 months of award; including the required project presentation. Applications for projects requiring more time will be considered for funding only under limited circumstances.

http://www.usbr.gov/watersmart/title/authorized.html https://www.usbr.gov/watersmart/title/feasibility.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 NOFO by emailing the Notice of Funding Opportunity staff at bor-sha-fafoa@usbr.gov.

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

D.2.1. Application Format and Length The technical proposal and responses to evaluation criteria section of the application package shall be no more than 20 (twenty) consecutively numbered pages. If an application exceeds 20 pages, only the first 20 pages will be evaluated. The font shall be at least 12 points in size and easily readable. Page size shall be 8½ by 11 inches, including charts, maps, and drawings. Oversized pages will not be accepted.

Applications will be prescreened for compliance to the page number limitations. 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 are at www.grants.gov/web/grants/forms/sf-424-family.html

• Title page

• Table of contents

• Technical proposal and responses to evaluation criteria (limited to 20 pages) mailto:bor-sha-fafoa@usbr.gov mailto:bor-sha-fafoa@usbr.gov o Executive summary o Background/introduction o Technical approach and project activities o Research work plan and schedule o Facilities and equipment information o Quality assurance and quality control (QA/QC) program o Environmental impacts o Responses to evaluation criteria

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

• Personnel qualifications

• Letters of support

• Request for increase in Federal cost-share justification, if applicable

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

D.2.2.1.1. 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.

D.2.2.1.2. SF-424A Budget Information A fully completed SF-424A Budget Information-Non-Construction Programs must be submitted with the application.

D.2.2.1.3. SF-424B 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.

D.2.2.1.4. 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 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, address, e-mail address, and telephone number of the project manager.

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

D.2.2.4. Technical Proposal and Evaluation Criteria The technical proposal should describe the project and supporting 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 the DWPR Program and should demonstrate a thorough understanding of the 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 responses to evaluation criteria (20 pages maximum) should include:

(1) Executive summary

(2) Background/introduction

(3) Technical approach and project activities

(4) Research work plan and schedule

(5) Facilities and equipment information

(6) QA/QC program

(7) Environmental impacts

(8) Responses to evaluation criteria

D.2.2.4.1. 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 the requested Federal funds would help accomplish the goals of the proposed project, and briefly identifies how the proposed project contributes to accomplishing the goals of this

NOFO

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

• The proposed project location and if the work will be conducted at a Federal facility

D.2.2.4.2. Background/Introduction Describe the status of the technology supporting the specific research work proposed. Address the following:

• What is the problem to be solved?

• What is the proposed solution?

• Provide a comprehensive background on the problem based on experience and what is reported in literature. If appropriate, identify specific water types and locations.

• 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?

• Identify one or more DWPR objectives addressed by the proposed project (as described in Section A.2 Objectives of this Notice of Funding Opportunity).

D.2.2.4.3. Technical Approach and Project Activities This section should describe the technical approach and proposed research activities to be conducted under the project and include enough detail to permit a comprehensive evaluation. 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 or tasks to be conducted, including the development of the final 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 how you will analyze the data.

D.2.2.4.4. 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 addressing review comments at key milestones. 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.

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.

D.2.2.4.5. Facilities and Equipment Information Describe the facilities where the work will be performed. List the equipment that is available for use on the project and that will be required for carrying out the proposed work. List and justify any special equipment that will need to be purchased 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.

D.2.2.4.6. 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 as well as additional information as needed to address using the program for your proposed project.

D.2.2.4.7. Environmental Impacts Describe any potential environmental benefits or adverse impacts of the proposed work and plans for disposal of any wastes generated during the project. If any permits and licenses are required for this project, describe how they will be obtained.

D.2.2.4.8. Responses to Evaluation Criteria The responses to evaluation criteria portion of your application should clearly describe how the proposed project addresses each criterion (in the order presented) to assist in the complete and accurate evaluation of your application. See Section E.1. Technical Proposal: Evaluation Criteria for additional details, including a detailed description of each criterion and points associated with each.

D.2.2.5. Project Budget The project budget includes:

(1) Funding plan and letters of commitment

(2) Budget proposal

(3) Budget narrative

Project costs that are anticipated to be incurred prior to award that the applicant would seek reimbursement for or wishes to apply as non-Federal cost share should be included in the proposed project budget. If the proposed project is selected, the awarding Reclamation Grants Officer will review the proposed pre-award costs to determine if the costs are consistent with program objectives and are allowable in accordance with the authorizing legislation. Proposed pre-award costs must also comply with all applicable administrative and cost principles criteria established in 2 CFR Part 200, available at www.ecfr.gov, and all other requirements of this NOFO. In no case will costs incurred prior to June 1, 2021, be considered for inclusion in the budget of the proposed project.

D.2.2.5.1. 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 submitting 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 NOFO 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 enough evidence and likelihood that non-Federal funds will be available to the applicant after executing the agreement.

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

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

• Any costs that will be contributed by the applicant

• Any third-party in-kind costs (i.e., goods and services provided by a third party)

• Any cash requested or received from other non-Federal entities

• Any pending funding requests (i.e. grants or loans) that have not yet been approved and explain how the project will be affected if such funding is denied

In addition, please identify whether the budget proposal includes any project costs that may be incurred prior to award. For each cost, describe:

• The project expenditure and anticipated amount

• The anticipated date of cost incurrence

• How the expenditure benefits the project

Please include the following chart (Table 1) to summarize all funding sources. Denote in-kind contributions with an asterisk (*).

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

FUNDING SOURCES AMOUNT

Non-Federal Entities

1. $

2. $

3. $ Non-Federal Subtotal $ Other Federal Entities

1. $

Table 3.—Summary of Non-Federal and Federal Funding Sources

FUNDING SOURCES AMOUNT

Non-Federal Entities

1. $

2. $

3. $ Non-Federal Subtotal $

REQUESTED RECLAMATION FUNDING $

FUNDING SOURCES AMOUNT

2. $

3. $ Other Federal Subtotal $

REQUESTED RECLAMATION FUNDING $

D.2.2.5.2. Budget Proposal The total project cost (Total Project Cost), is the sum of all allowable items of costs, including all required cost sharing, voluntary committed cost sharing, and third-party contributions, that are necessary to complete the project. Please include the following charts (Table 2 and Table 3) to summarize all funding sources.

Table 2.—Total Project Cost Table

SOURCE AMOUNT

Costs to be reimbursed with the requested Federal funding $ Costs to be paid by the applicant $ Value of third-party contributions $

TOTAL PROJECT COST $

The budget proposal should include detailed information on the categories listed in this subsection and must clearly identify all items of cost, including those that will be contributed as non-Federal cost share by the applicant (required and voluntary), third-party in-kind contributions, and those that will be covered using the funding requested from Reclamation, and any requested pre-award costs.

Unit costs must be provided for all budget items including the cost of services or other work to be provided by consultants and contractors. 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.

Budget proposals may only include the costs for up to 2 people to attend one conference, and the budget should not include any construction costs of permanent research facilities. Applicants are strongly encouraged to review the procurement standards for Federal awards found in 2 CFR §200.317 through §200.327, available at the Electronic Code of Federal Regulations (www.ecfr.gov), before developing their budget proposal.

It is also strongly advised that applicants use the budget proposal format shown in Table 4 or a similar format that provides this information. 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 elig ible to be applied as non-Federal cost share.

Table 4.—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 (items over $5,000) Item A $ Item B $ Item C $ Supplies and Materials (items less than $5,000) Item A $ Item B $ Contractual

Contractor A $

Contractor B $

Third Party Contributions Contributor A $ Contributor B $ Other Other $

TOTAL DIRECT COSTS $

Indirect Costs Type of rate percentage $base $

TOTAL ESTIMATED PROJECT COSTS $

D.2.2.5.3. Budget Narrative Submission of a budget narrative is mandatory. An award will not be made to any applicant who fails to fully disclose this information. The budget narrative provides a discussion of, or explanation for, items included in the budget proposal. Include the value of in-kind contributions or donations of goods and services and sources of funds provided to complete the project. The types of information to describe in the narrative include, but are not limited to, those listed in the following subsections. Costs, including the valuation of in-kind contributions and donations, must comply with the applicable cost principles contained in 2 CFR Part §200, available at the Electronic Code of Federal Regulations (www.ecfr.gov).

D.2.2.5.3.1. Salaries and Wages Indicate the program manager and other key personnel by name and title. Other personnel may be indicated by title alone. For all positions, indicate salaries and wages, estimated hours or percent of time, and rate of compensation. 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, then they should be included in this section; however, a justification should be included in the budget narrative.

D.2.2.5.3.2. Fringe Benefits Identify the 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.

D.2.2.5.3.3. Travel A maximum of one conference attendance for up to two people can be included in the budget. In addition, up to two people can be included for the project presentation, 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. For local travel, include mileage and rate of compensation. Note: travel costs incurred by contractors should not be included in this section but can be included in the contract cost estimate.

D.2.2.5.3.4. Equipment If equipment will be purchased, itemize all equipment valued at or greater than $5,000. For each item, identify why it is needed for the completion of the project and how the equipment was priced (i.e. quotes, previous similar project, 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 being rented or leased.

D.2.2.5.3.5. Materials and Supplies Itemize supplies by major category, unit price, quantity, and purpose, such as whether the items are needed for office use, research, or construction. Identify how these costs were estimated (e.g., quotes, past experience, engineering estimates, or other methodology).

D.2.2.5.3.6. Contractual Identify all work that will be accomplished by subrecipients, consultants, or contractors, including a breakdown of all tasks to be completed, and a detailed budget estimate of time, rates, supplies, and materials that will be required for each task. Identify how the budgeted costs for sub-recipients, consultants, or contractors were determined to be fair and reasonable.

D.2.2.5.3.7. Third-Party In-Kind Contributions Identify all work that will be accomplished by third-party contributors, 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. Third-party in-kind contributions, including contracts, must comply with all applicable administrative and cost principles criteria, established in 2 CFR Part 200, available at www.ecfr.gov, and all other requirements of this NOFO.

D.2.2.5.3.8. 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 NOFO, 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, then 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.

If you have questions on Reclamation’s costs to include in the application, please contact the Program Administrator. See Section G. Agency Contacts.

D.2.2.5.3.9. 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. No profit or fee will be allowed.

D.2.2.5.3.10. Indirect Costs Indirect costs are costs incurred by the applicant for a common or joint purpose that benefit more than one activity of the organization and are not readily assignable to the activities specifically benefitted without undue effort. Costs that are normally treated as indirect costs include, but are not limited to, administrative salaries and fringe benefits associated with overall financial and organizational administration; operation and maintenance costs for facilities and equipment; and, payroll and procurement services. If indirect costs will be incurred, identify the proposed rate, cost base, and proposed amount for allowable indirect costs based on the applicable cost principles for the applicant’s organization. It is not acceptable to simply incorporate indirect rates within other direct cost line items.

Any non-Federal entity that does not have a current negotiated (including provisional) rate, except for those non-Federal entities described in appendix VII to 2 CFR §200, paragraph D.1., may elect to charge a de minimis rate of 10% of modified total direct costs (MTDC) which may be used indefinitely. For further information on MTDC, refer to 2 CFR §200.68 available at www.ecfr.gov.

If you do not have a federally approved indirect cost rate agreement and is proposing a rate greater than the 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 the Department’s Interior Business Center, Office of Indirect Cost Services, at www.doi.gov/ibc/services/finance/indirect-cost-services.

https://www.ecfr.gov/cgi-bin/ECFR?page=browse http://www.doi.gov/ibc/services/finance/indirect-cost-services http://www.doi.gov/ibc/services/finance/indirect-cost-services https://D.2.2.5.3.10

D.2.2.6. Personnel Qualifications Provide the following information for personnel:

• Identification of the Project Manager responsible for ensuring completion of 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. Letters of Support Please include letters from interested stakeholders supporting the proposed project. To ensure your application is accurately reviewed, please attach all letters of support and/or partnership letters as an appendix. Letters of support and partnership letters received after the application deadline for this NOFO will not be considered in the evaluation of the application.

D.2.2.8. Justification for Reduction in Non-Federal Cost-Share Contribution (if applicable) If applicable, please include adequate information as to why this project is not feasible without a reduction to the non-Federal cost-share contribution as described in Section C.2 Cost Sharing Requirements. 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 circumstances will the Federal share of projects funded under this NOFO exceed 50 percent of the total project costs.

D.2.2.9. Prohibition on Certain Telecommunication and Video Surveillance Services or Equipment Federal award recipients are prohibited from using government funds to enter contracts (or extend or renew contracts) with entities that use covered telecommunications equipment or services as described in §889 of the 2019 National Defense Authorization Act. This prohibition applies even if the contract is not intended to procure or obtain, any equipment, system, or service that uses covered telecommunications equipment or services.

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.

(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. Additional information on how to complete SAM registration can be found at https://sam.gov/content/entity-landing.

D.4. Submission Date and Time The application submission deadline is:

• Thursday, September 9th, 2021 at 4:00 p.m. Mountain Daylight Time (MDT) for applications to be considered for funding, contingent on appropriations.

Applications received after the application deadline will not be considered unless it can be determined that…