fy11 awt-foa-final.pdf

U.S. Department of the Interior Policy and Administration

Bureau of Reclamation Denver, Colorado March 2011

Funding Opportunity Announcement No. R11SF80351

WaterSMART:

Advanced Water Treatment Pilot and Demonstration Project Grants for FY2011

Mission Statements

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

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

Synopsis iii

Synopsis Federal Agency Name: U.S. Department of the Interior, Bureau of Reclamation, Policy and Administration

Funding Opportunity Title:

WaterSMART : Advanced Water Treatment Pilot and Demonstration Project Grants

Announcement Type: Funding Opportunity Announcement (FOA)

Funding Opportunity Number:

R11SF80351

Catalog of Federal Domestic Assistance (CFDA) Number:

15.507

Dates:

(See FOA Sec. IV.B)

Application due date:

May 11, 2011, 4:00 p.m. Mountain Standard Time (MST)

Eligible Applicants:

(See FOA Sec. III.A)

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

Recipient Cost Share:

(See FOA Sec. III.E)

50 percent or more of project costs

Federal Funding Amount:

(See FOA Sec. II.B)

Up to $600,000 per agreement

Estimated Number of Agreements to be Awarded:

(See FOA Sec. II.B)

2-8 (The number of agreements awarded will be contingent upon final FY 2011 appropriations.)

Estimated Amount of Funding Available for Award:

(See FOA Sec. II.A)

The President’s FY 2011 budget requests $27 million for WaterSMART Grants, including approximately $2 million planned to be available for award under this FOA. The amount of funding available for award under this WaterSMART Grant FOA will be determined once final FY 2011 appropriations have been made. This FOA will be cancelled if FY 2011 appropriations are insufficient to support new awards. Applications submitted under this FOA may also be considered if other funding becomes available in FY 2011 or subsequently. Please refer to <http://www.usbr.gov/WaterSMART/> for updated funding information.

Application Checklist v

Application Checklist The following table contains a summary of the information that you are required to submit with a WaterSMART Grant application.

√ What to submit Required content Form or format

When to submit

Cover page Form SF 424, available at:

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

Assurances Form SF 424B or SF 424D, as applicable, available at:

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

Title page Page 16 *

Table of contents Page 16 *

Technical proposal:

• Executive Summary

• Background data

• Technical project description

Pages 17-24

Description of Performance Measures

Description of potential environmental impacts

Required permits and approvals

Funding plan Page 25 *

Commitment letters

Official resolution

Project budget proposal:

• General requirements

• Budget format

• Budget narrative

• Budget form

Pages 27-30

Form SF 424A or SF 424C, as applicable, available at:

<http://apply07.grants.gov/apply/FormLinks?family=15> Page

* Submit materials with your application on May 11, 2011 ** Documents should be submitted with your application; however, please refer to the applicable Section of the FOA for extended submission dates.

Acronyms and Abbreviations vii

Acronyms and Abbreviations af acre-feet AOR Authorized Organization Representatives ARC Application Review Committee AWT Advanced Water Treatment CCR Central Contractor Registration CFDA Catalog of Federal Domestic Assistance CE Categorical Exclusion CEC Categorical Exclusion Checklist CPA certified public accountant DOI U.S. Department of the Interior DUNS Data Universal Number System EA Environmental Assessment E-Biz POC E-Business Point of Contact EIN Employer Identification Number EIS Environmental Impact Statement ESA Endangered Species Act FAQ Frequently Asked Question FEMA Federal Emergency Management Agency FOA Funding Opportunity Announcement FONSI Finding of No Significant Impact FY fiscal year GO Grants Officer gpm gallons per minute IRS Internal Revenue Service MST Mountain Standard Time NEPA National Environmental Policy Act NHPA National Historic Preservation Act NOAA National Oceanic and Atmospheric Administration OM&R Operations, Maintenance, and Replacement OMB Office of Management and Budget ROD Record of Decision TIN Taxpayer Identification Number USACE U.S. Army Corps of Engineers USFWS U.S. Fish and Wildlife Service WaterSMART Sustain and Manage America’s Resources for Tomorrow

Contents ix

Contents Page

Section I. Funding Opportunity Description I.A. WaterSMART: Advanced Water Treatment Pilot and

Demonstration Project Grants I.B. Objective of Funding Opportunity Announcement I.C. Program Authority I.D. Frequently Asked Questions

Section II. Award Information II.A. Total Project Funding II.B. Project Funding Limitations II.C. Reclamation Responsibilities II.D. Award Date

Section III. Eligibility Information III.A. Eligible Applicants III.B. Eligible Projects III.C. Ineligible Projects

III.C.1. Operations, Maintenance and Replacement III.C.2. Title XVI Water Recycling and Reuse

III.D. Length of Projects III.E. Cost-Sharing Requirement

III.E.1. Cost Share Regulations III.E.2. In-Kind Contributions III.E.3. Pre-Award Costs III.E.4. Indirect Costs

III.F. Environmental Compliance III.G. Requirements for Agricultural Operations

[Public Law 111-11, Section 9504(a)(3)(B)] III.H. Other Requirements

III.H.1. Title to Improvements [Public Law 111-11, Section 9504(a)(3)(D)]

III.H.2. Operation and Maintenance Costs [Public Law 111-11, Section 9504(a)(3)(E)(iv)]

III.H.3. Liability [Public Law 111-11, Section 9504(a)(3)(F)]

In General Tort Claims Act

III.H.4. Central Contractor Registration Section IV. Application and Submission Information

IV.A. Address to Request Application Package IV.B. Application Submission Date and Time IV.C. Application Delivery Instructions IV.D. Instructions for Submission of Project Application

IV.D.1. Applications Submitted by Mail IV.D.2. Applications Submitted Electronically x

IV.D.3. Applying for Funds Online at Grants.gov Assistance with Grants.gov Registering to Use Grants.gov (1-3 week process)

IV.D.4. Application Format and Length IV.D.5. Application Content

SF-424 Application Cover Page SF-424 Assurances Title Page Table of Contents Technical Proposal and Evaluation Criteria

Technical Proposal: Executive Summary Technical Proposal: Background Data Technical Proposal: Technical Project Description Technical Proposal: Evaluation Criteria

Environmental Compliance Required Permits or Approvals Funding Plan and Letters of Commitment Official Resolution Budget Proposal

General Requirements Budget Proposal Format Budget Narrative Format Budget Form

IV.E. Funding Restrictions Section V. Application Review Information

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

V.B. Pre-Award Clearances and Approvals Section VI. Award Administration Information

VI.A. Award Notices VI.B. Award Document VI.C. Reporting Requirements and Distribution

VI.C.1. Financial Reports VI.C.2. Program Performance Reports

Section VII. Agency Contacts Section VIII. Other Information

VIII.A. Performance Measures VIII.B. Overview of Environmental Compliance Requirements

VIII.B.1. Review within the Application Evaluation Process VIII.B.2. Review of Initially Recommended Projects VIII.B.3. Overview of Relevant Environmental Laws

National Environmental Policy Act National Historic Preservation Act Endangered Species Act

Section I. Funding Opportunity Description

Section I. Funding Opportunity Description

I.A. WaterSMART: Advanced Water Treatment Pilot and Demonstration Project Grants

Water is our most precious natural resource, and is increasingly stressed by the demands our society places on it. Adequate water supplies are an essential element in human survival, ecosystem health, energy production, and economic sustainability. Water shortage and water-use conflicts have become more commonplace in many areas of the United States, even in normal water years. As competition for water resources grows—for irrigation of crops, growing cities and communities, energy production, and the environment—the need for information and tools to aid water resource managers also grows. Water issues and challenges are increasing across the Nation, but particularly in the West.

Aggressive action is required to address future water supply challenges, including degradation in water quality caused by pollution and land use practices, decreases in flow, declines in groundwater levels, and aging infrastructure. The U.S.

Department of the Interior’s (DOI) WaterSMART (Sustain and Manage America’s Resources for Tomorrow) Program establishes a framework to provide Federal leadership and assistance on the efficient use of water, integrating water and energy policies to support the sustainable use of all natural resources, and coordinating the water conservation activities of various Departmental bureaus and offices. Through the program, the Department is working to achieve a sustainable water strategy to meet the Nation’s water needs.

Recent technical developments in the field of water treatment permit the use of some impaired waters that previously were unusable. Through this WaterSMART Grant opportunity, Reclamation is making available cost-shared funding on a competitive basis for pilot and demonstration projects that will accelerate the adoption and use of advanced water treatment (AWT) technologies to increase water supply.

For further information on the WaterSMART Program, see <http://www.usbr.gov/WaterSMART/>.

I.B. Funding Opportunity Announcement Objective

The objective of this FOA is to invite states, Indian tribes, irrigation districts, water districts, and other organizations with water or power delivery authority to leverage their money and resources by cost sharing with Reclamation on pilot and demonstration projects to accelerate the adoption and use of AWT technologies in order to increase water supply and provide for long term water sustainability.

Projects funded under this FOA will include pilot and demonstration projects that will address the technical, economic, and environmental viability of treating and using brackish groundwater, seawater, impaired waters, or otherwise creating new water supplies within a specific locale.

The adoption and use of AWT is a crucial element of any plan to address western water issues. Leveraging Federal funding through grants is an important step toward sustainable water supplies in the west.

I.C. Program Authority

This FOA is issued under the authority of Section 9504(a) of the Secure Water Act, Subtitle F of Title IX of the Omnibus Public Land Management Act of 2009, P.L. 111-11 (42 USC 10364).

I.D. Frequently Asked Questions

A list of Frequently Asked Questions (FAQs) about WaterSMART and this FOA can be found on-line at <http://www.usbr.gov/WaterSMART>. The list of FAQs will be updated periodically during the application period.

Section II. Award Information

Section II. Award Information

II.A. Total Project Funding

The President’s FY 2011 budget requests $27 million proposed for WaterSMART Grants (WaterSMART Grants include: Water and Energy Efficiency Grants;

System Optimization Review Grants; Advanced Water Treatment Pilot and Demonstration Project Grants; Research Grants to Develop Climate Analysis Tools; and Bay-Delta Agricultural Water Conservation and Efficiency Projects).

Approximately $2 million of that request is planned to be available for WaterSMART AWT Pilot and Demonstration Project Grants. The amount of funding available for award for this WaterSMART Grant FOA will be determined once final FY 2011 appropriations have been made. This FOA will be cancelled if FY 2011 appropriations are insufficient to support new awards. Applications submitted under this FOA may also be considered if other funding becomes available in FY 2011 or subsequently. Please refer to <http://www.usbr.gov/WaterSMART/> for updated funding information.

II.B. Project Funding Limitations

The Federal share (Reclamation’s share plus any other sources of Federal funding) of any one proposed project shall not exceed 50 percent of the total project costs. Up to $600,000 in Reclamation funding will be available for each project award. Once FY 2011 appropriations are final, funding will be awarded accordingly. Reclamation reserves the right to make additional awards at a later date, depending on the availability of funding.

Multiple applications for funding may be submitted for consideration. However, no more than $1,000,000 in WaterSMART Grant funds will be awarded to any one applicant under all WaterSMART Grants issued in FY 2011.

II.C. Reclamation Responsibilities

Project awards will be made through grants or cooperative agreements as applicable to each project. If a cooperative agreement is awarded, 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 the management of 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.

At the request of the recipient, Reclamation can provide technical assistance after award of the project. If you receive Reclamation’s assistance, you must account for these costs in your budget. To discuss assistance available and these costs, contact your local Reclamation office, which can be identified at <http://www.usbr.gov/main/regions.html>.

II.D. Award Date

Reclamation expects to contact potential award recipients and unsuccessful applicants in July 2011, or slightly later if necessary based on the enactment of FY 2011 appropriations. Within one to three months after that date, assistance agreements will be awarded to applicants that successfully pass all pre-award reviews and clearances.

Section III. Eligibility Information

Section III. Eligibility Information

III.A. Eligible Applicants

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

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

Those not eligible include entities without water or power delivery authority, such as:

• Other state governmental entities

• Federal governmental entities

• Institutions of higher education

• Individuals

Applicants that have previously received a WaterSMART AWT Pilot and Demonstration Project Grant may apply for funding of a new discrete project.

However, projects that received funding under this FOA in FY 2010 are not eligible for additional funding in FY 2011.

III.B. Eligible Projects

All projects must be completed by September 30, 2013, unless otherwise agreed upon. Emphasis will be directed toward applications for pilot or demonstration projects that address the technical and economic viability of treating and using brackish groundwater, seawater, impaired waters, or otherwise creating new water supplies within a specific locale.

This funding opportunity is available for pilot and demonstration projects that will help develop new sustainable water supplies. AWT technologies generally include methods that remove salt and other difficult to remove dissolved and suspended matter, including viruses and bacteria that are not removed by conventional treatment (e.g., simple screening, chlorination, coagulation/flocculation, chloramination, or ozonation). Pilot and demonstration projects build on existing information, are used to determine the physical and economic viability or suitability of a process, and demonstrate that the process is ready for design, construction, and testing. Pilot and demonstration projects have treatment flows that are a fraction of the intended final installation (full-scale plant) with flow generally from 1 to 500 gallons per minute (gpm).

Anticipated proposals include projects to demonstrate reverse osmosis, nanofiltration, microfiltration, or other membrane processes, including electrodialysis, pretreatment processes, advanced oxidation processes, disinfection, biological processes, concentrate disposal, or other AWT processes.

The purpose of these projects is to demonstrate the technical and economic viability of making beneficial use of an impaired water source within a specific locale.

Funding is not available for the construction of a full-scale plant under this opportunity.

III.C. Ineligible Projects

Projects that are ineligible for funding under this FOA include:

III.C.1. Operations, Maintenance, and Replacement Projects that are considered normal Operations, Maintenance, and Replacement (OM&R) are not eligible. OM&R is described as system improvements that replace or repair existing infrastructure or function without providing increased efficiency or effectiveness of water distribution over the expected life of the improvement.

Examples of ineligible OM&R projects include:

• Replacing malfunctioning components of an existing facility with the same components

• Improving an existing facility to operate as originally designed

• Performing an activity on a recurring basis even if that period is extended

(e.g., 10-year interval)

• Sealing expansion joints of concrete lining because the original sealer or the water stops have failed

• Replacing broken meters with new meters of the same type

• Replacing leaky pipes with new pipes of the same type

III.C.2. Title XVI Water Recycling and Reuse Any projects or project elements that are part of a congressionally authorized project under Title XVI of Public Law 102-575, as amended (43 U.S.C. 390h et seq.), are not eligible for funding under this FOA. Title XVI is Reclamation’s water recycling and reuse program, focused on identifying and investigating opportunities to reclaim and reuse wastewaters and naturally impaired ground and surface water. For more information on the program, please visit:

<http://www.usbr.gov/ WaterSMART/title.html>.

III.D. Length of Projects

Proposed projects should be completed within 24 months from the project start date. Applications for projects requiring more than 2 years will be considered if the applicant can demonstrate that there will be measureable on-the-ground accomplishments each year.

III.E. Cost-Sharing Requirement

Applicants must be willing to cost share 50 percent or more of the total project costs. 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. Reclamation may approve an award prior to an applicant securing non-Federal cost-share funds if Reclamation determines that there is sufficient evidence and likelihood that the non-Federal funds will be available to the applicant by the start of the project. Funding commitment letters must be submitted in accordance with Section IV.C. and contain the information stated at Section IV.D.

III.E.1. Cost Share Regulations All cost-share contributions must meet the criteria established in the Office of Management and Budget’s (OMB) administrative and cost principles circulars that apply to the applicant. These circulars are available at <http://www.whitehouse.gov/omb/circulars>.

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

III.E.3. Pre-Award Costs Project pre-award costs that have been incurred prior to the date of award but after July 1, 2010 may be submitted for consideration as an allowable portion of the recipient's cost share for the project. In no case will pre-award costs incurred prior to July 1, 2010, be considered for 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, any pre-award costs proposed for consideration under the new awards must comply with all applicable requirements under this FOA.

III.E.4. Indirect Costs Indirect costs that will be incurred during the development or construction of a project, which will not otherwise be recovered, may be included as part of the applicant’s cost share. Indirect costs are those: (1) incurred for a common or joint purpose benefiting more than one cost objective, and (2) not readily assignable to any one cost objective. If the applicant proposes indirect costs in the budget, then the applicant must either supply a copy of a current federally-negotiated indirect cost rate agreement or obtain an agreement within one year of award. For further information on indirect costs, refer to the applicable OMB cost principles circular referenced above and available at <http://www.whitehouse.gov/omb/circulars>.

III.F. Environmental Compliance

All projects being considered for award funding will require compliance with the National Environmental Policy Act (NEPA) before any ground disturbing activity may begin. Compliance with all applicable state, federal and local environmental, cultural, and paleontological resource protection laws and regulations is also required. These may include, but are not limited to, the Clean Water Act, the Endangered Species Act (ESA), consultation with potentially affected tribes, National Historic Preservation Act (NHPA), and consultation with the State Historic Preservation Office.

Reclamation will be the lead Federal agency for NEPA compliance and will be responsible for evaluating technical information and ensuring that natural resources, cultural, and socioeconomic concerns are appropriately addressed. As the lead agency, Reclamation is solely responsible for determining the appropriate level of NEPA compliance. Further, Reclamation is responsible to ensure findings under NEPA, and consultations, as appropriate, will support Reclamation’s decision on whether to fund a project. Environmental compliance costs are part of an applicant’s cost share. These costs will be considered in the ranking of applications.

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

Reclamation will provide a successful applicant with information once environmental compliance is complete. An applicant that proceeds before environmental compliance is complete may risk forfeiting Reclamation funding under this FOA.

III.G. Requirements for Agricultural Operations [Public Law 111-11, Section 9504(a)(3)(B)]

In accordance with Section 9504(a)(3)(B) of Public Law 111-11, grants and cooperative agreements under this authority will not be awarded for an improvement to conserve irrigation water unless the applicant agrees to both of the following conditions:

• Not to use any associated water savings to increase the total irrigated acreage of the eligible applicant

• Not to otherwise increase the consumptive use of water in the operation of the eligible applicant, as determined pursuant to the law of the state in which the operation of the eligible applicant is located

III.H. Other Requirements

Applicants shall adhere to Federal, State, territorial, and local laws, regulations, and codes, as applicable, and shall obtain all required approvals and permits.

Applicants shall also coordinate and obtain approvals from site owners and operators.

III.H.1. Title to Improvements [Public Law 111-11, Section 9504(a)(3)(D)] If the activities funded through an agreement awarded under this FOA result in an infrastructure improvement to a federally owned facility, the Federal government shall continue to hold title to the facility and improvements to the facility.

III.H.2. Operation and Maintenance Costs [Public Law 111-11, Section 9504(a)(3)(E)(iv)] The non-Federal share of the cost of operating and maintaining any infrastructure improvement funded through an agreement awarded under this FOA shall be 100 percent.

III.H.3. Liability [Public Law 111-11, Section 9504(a)(3)(F)]

In General Except as provided under chapter 171 of title 28, United States Code (commonly known as the “Federal Tort Claims Act”), the United States shall not be liable for monetary damages of any kind for any injury arising out of an act, omission, or occurrence that arises in relation to any facility created or improved through an agreement awarded under this FOA, the title of which is not held by the United States.

Tort Claims Act Nothing in this section increases the liability of the United States beyond that provided in chapter 171 of title 28, United States Code (commonly known as the “Federal Tort Claims Act”).

III.H.4. Central Contractor Registration All applicants must be registered in the Central Contractor Registration (CCR) prior to award of funds under this FOA. The CCR and instructions for registration are located at <http://www.bpn.gov/ccr>. All applicants must maintain an active CCR registration with current information at all times during which it has an active Federal award.

Section IV. Application and Submission Information

Section IV. Application and Submission Information

IV.A. Address to Request Application Package

This document contains all information, forms, and electronic addresses required to obtain the information required for submission of an application.

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

By mail: Bureau of Reclamation Acquisition Operations Group Attn: Michelle Maher Mail Code: 84-27810 P.O. Box 25007 Denver CO 80225

E-mail: mmaher@usbr.gov

Phone: 303-445-2025

IV.B. Application Submission Date and Time

Application submission date deadline:

• May 11, 2011, 4:00 p.m. Mountain Standard Time

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

Please note that any application submitted to Reclamation for WaterSMART Grant funding may be subjected to a Freedom of Information Act request (5 U.S.C. § 552, as Amended by Public Law No. 110-175), and as a result, may be made publicly available. In addition, successful applications may be made publicly available (following consultation with the applicant with redactions as needed) and may be posted on the Reclamation website.

IV.C. Application Delivery Instructions

Applications may be submitted electronically through <http://www.grants.gov> or hard copies may be submitted as follows. Under no circumstances will applications received through any other method (such as email or fax) be considered eligible for award.

By mail:

Acquisition Operations Group Attn: Michelle Maher Mail Code: 84-27810 P.O. Box 25007 Denver CO 80225

Express delivery/mail services:

Attn: Michelle Maher, Mail Code: 84-27810 Denver Federal Center

6th Avenue and Kipling Street Denver CO 80225

Telephone: 303-445-2025

IV.D. Instructions for Submission of Project Application

Each applicant shall submit an application in accordance with the instructions contained in this section.

IV.D.1. Applications Submitted by Mail

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

• In addition to hard copy documents, please include a copy of our technical proposal on a CD in Microsoft Word format. Submission of a CD copy is not required but is encouraged.

• Please do not use “comb,” “spiral,” or adhesive methods to bind the documents.

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

• Materials arriving separately, other than letters of project support or resolutions, will not be included in the application package and may result in the application being rejected or not funded.

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

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

IV.D.2. Applications Submitted Electronically

If the applicant chooses to submit an electronic application it must be submitted through Grants.gov at <http://www.grants.gov>.

• Please note that submission of an application electronically requires prior registration through Grants.gov, which may take 7-21 days. Please see registration instructions at <http://www.grants.gov/applicants/ get_registered.jsp>.

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

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

IV.D.3. Applying for Funds Online at Grants.gov Reclamation is participating in the Grants.gov initiative that provides the grant community with a single website to find and apply for Federal grant funding opportunities. Reclamation encourages applicants to submit their applications for funding electronically through <http://www.grants.gov/applicants/ apply_for_grants.jsp>. Applicant resource documents and a full set of instructions for registering with Grants.gov and completing and submitting applications online are available at: <http://www.grants.gov/applicants/ resources.jsp>.

Assistance with Grants.gov If you need assistance with Grants.gov, the Contact Center is open 24 hours a day, 7 days a week. You may reach the Grants.gov Contact Center by email at <support@grants.gov> or by calling 1-800-518-4726.

Registering to Use Grants.gov (1-3 week process)

The following checklist is provided to give you a summary of the steps that are required to register with Grants.gov. This Registration process must be completed prior to submitting an electronic application through Grants.gov.

Additionally, see Table 1, Step 2 below for completing the annual Central Contractor Registration (CCR) renewal process.

Note: (The following checklist information is available electronically at <http://www.grants.gov/assets/Organization_Steps_Complete_Registration.pdf>.)

The registration is a one-time process, which is required before representatives of an organization can submit grant application packages electronically through Grants.gov. The registration process can take three to five business days or one to three weeks—depending on your organization and if all steps are met in a timely manner. The checklist in Table 1 provides registration guidance for a company, academic or research institution, state, local or tribal government, not-for-profit, or other type of organization.

Table 1. Checklist for Registering Your Organization in Grants.gov

√ Step Actions to take Purpose Time required 1: Obtain

Data Universal Number System

(DUNS)

Number

Has my organization identified its DUNS number?

Ask the grant administrator, chief financial officer, or authorizing official of your organization to identify your DUNS number.

If your organization does not know its DUNS number or needs to register for one, visit Dun & Bradstreet at <http://fedgov.dnb.com/webform/display HomePage.do>

The Federal government has adopted the use of DUNS numbers to track how Federal grant money is allocated. DUNS numbers identify your organization.

Same Day. You will receive DUNS number information online.

√ Step Actions to take Purpose Time required 2: Register

With Central Contractor Registration

Has my organization registered with the CCR?

Ask the grant administrator, chief financial officer, or authorizing official of your organization if your organization has registered with the CCR.

If your organization is not registered, you can apply online by going to <http://www.ccr.gov>. CCR has developed a handbook < http://www.

bpn.gov/ccr/doc/UserAccount.pdf> to help you with the process. If after having registered in CCR, you experience any registration problems, you can get help by going to the Federal Service Desk <https://www.fsd.gov>.

When your organization registers with CCR, you must designate an E- Business Point of Contact (E-Biz POC).

This person will identify a special password called an "M-PIN."

This M-PIN gives the E-Biz POC authority to designate which staff member(s) from your organization are allowed to submit applications electronically through Grants.gov. Staff members from your organization designated to submit applications are called Authorized Organization Representatives (AOR).

Registering with the CCR is required for organizations to use Grants.gov.

If your organization already has an Employer Identification Number (EIN) or Taxpayer Identification Number (TIN), then you should allow one – three business days to complete the entire CCR registration. The EIN and TIN will come from the Internal Revenue Service (IRS)

If your organization does not have an EIN or TIN, then you should allow two weeks for obtaining the information from the IRS when requesting the EIN or TIN via phone or Internet. The additional number of days needed is a result of security information that needs to be mailed to the organization.

*Note: Your organization needs to renew your CCR registration once a year. You will not be able to move on to Step 3 until you have renewed your CCR registration. This renewal may take up to 5 business days.

3: Username and Password

Have the AORs who officially submit applications on behalf of your organization completed their profile with Grants.gov to create their username and password?

To create a username and password, AORs must complete their profile on Grants.gov. AORs will need to know the DUNS number of the organization for which they will be submitting applications to complete the process.

After your organization registers with the CCR, AORs must wait one business day before they can complete a profile and create their usernames and passwords on Grants.gov.

An AOR username and password serves as an "electronic signature" when submitting a Grants.gov application.

Same Day. After the AOR has completed their profile they will be prompted to create a username and password that will allow the user to login and check their approval status immediately.

√ Step Actions to take Purpose Time required

4: AOR

Authorization Has E-Biz POC approved AORs to submit applications on behalf of the organization?

When an AOR registers with Grants.gov to submit applications on behalf of an organization, that organization's E-Biz POC will receive an email notification.

The email the AOR submitted in the profile will be the email used when sending the automatic notification from Grants.gov to the E-Biz POC with the AOR copied on the correspondence.

The E-Biz POC must then login to Grants.gov (using the organization’s DUNS number for the username and the "M-PIN" password (obtained in Step

2) and approve the AOR, thereby giving him or her permission to submit applications.

When an E-Biz POC approves an AOR, Grants.gov will send the AOR a confirmation email.

Only the E-Biz POC can approve AORs. This allows the organization to authorize specific staff members or consultants/grant writers to submit grants. Only those who have been authorized by the E-Biz POC can submit applications on behalf of the organization.

This depends on how long it takes the E-Biz POC to login and approve the AOR, once the approval is completed the AOR can immediately submit an application.

Step 5: Track

AOR

Status

What is your AOR status?

AORs can also login to track their AOR status using their username and password (obtained in Step 3) to check if they have been approved by the E-Biz

POC.

To verify that the organization’s E- Biz POC has approved the

AOR.

Logging in to check your AOR status is instantaneous. The approval process to become an AOR depends on how long it takes the E-Biz POC to login and approve the AOR.

NOTE: Some applicants have experienced difficulties when attempting to submit their applications electronically through Grants.gov. If you encounter problems with the Grants.gov application submission process, you must contact the Grants.gov Help Desk (1-800-518-4726 or support@grants.gov) to obtain a “Case Number.” This will provide evidence of your attempt to submit an application prior to the submission deadline.

IV.D.4. Application Format and Length The total application package shall be no more than 75 consecutively numbered pages and shall be single spaced. If an application exceeds 75 pages, only the first 75 pages will be evaluated. The font shall be at least 12 points in size and easily readable. Page size shall be 8 ½” x 11,” except for an occasional larger size for charts, maps, or drawings. The Technical Proposal and Evaluation Criteria section shall be limited to a maximum of 45 (forty-five) pages.

It is requested that all application sent via mail also include a digital version of the technical proposal on a CD in Microsoft Word format.

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

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

• SF-424 Core Form – Application cover page

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

• Title page

• Table of contents

• Technical proposal and evaluation criteria (limited to 45 pages) o Executive summary o Background data o Technical project description o Evaluation criteria

• Post-project benefits (performance measures)

• Potential environmental impacts

• Required permits and approvals

• Funding plan and letters of commitment

• Letters of project support

• Official resolution

• Project budget application o Budget proposal o Budget Narrative o SF-424 A or C Form, as applicable to the project

SF-424, SF-424A, SF-424B, SF-424C and SF-424D forms may be obtained at <http://apply07.grants.gov/apply/FormLinks?family=15>.

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

SF-424 Assurances A SF-424B – Assurances – Non-Construction Programs or an SF-424D – Assurances – 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 or SF-424D should be referred to Michelle Maher at: mmaher@usbr.gov. Failure to submit a properly signed SF-424B or SF-424D may result in the elimination of the application from further consideration.

Title Page Provide a brief, informative, and descriptive title for the proposed work that indicates the nature of the project. Include the name and address of the applicant, and the name and address, e-mail address, telephone, and facsimile numbers of the project manager.

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

Technical Proposal and Evaluation Criteria The technical proposal and evaluation criteria (45 pages maximum) includes:

(1) the Executive Summary, (2) Background Data, (3) Technical Project Description and (4) Evaluation Criteria. To ensure accurate and complete scoring of your application, your proposal should address each subcriterion in the order presented here. Where applicable, the point value is indicated.

Technical Proposal: Executive Summary The executive summary should include:

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

• A one paragraph project summary that briefly identifies how the proposed project contributes to accomplishing the goals of the FOA (see Section III.B, “Eligible Projects”).

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

Technical Proposal: Background Data Provide a map of the area showing the geographic location of the project and the area a full scale project would serve (include the state, county, and direction from nearest town).

As applicable, describe the source of water supply, the water rights involved, current water uses (i.e., agricultural, municipal, domestic, or industrial), the number of water users served, and the current and projected water demand. Also, identify potential shortfalls in water supply. If water is primarily used for irrigation, describe major crops and total acres served. Is AWT currently used in the area, or by the applicant? If yes, describe the use of AWT.

If the application includes renewable energy or energy efficiency elements, describe existing energy sources and current energy uses.

Identify any past working relationships with Reclamation. This should include the date(s), description of prior relationships with Reclamation, and a description of the projects(s).

Technical Proposal: Technical Project Description The technical project description should describe the work in detail. This description shall have sufficient detail to permit a comprehensive evaluation of the likelihood of technical success of the proposal if awarded.

Technical Proposal: Evaluation Criteria The Evaluation Criteria portion of your application should thoroughly address each of the following criteria and subcriteria in the order presented to assist in the complete and accurate evaluation of your proposal. (Note: 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). The Research Evaluation Criteria comprise 100 points of the total evaluation weight. Please note that projects may be prioritized to ensure that the projects address the goals of the WaterSMART Program.

Evaluation Criteria A: Addressing Projected Water Supply Imbalances (24 points)

Up to 12 points may be awarded based on the potential quantity of treated water produced and that quantity relative to an existing or future water supply imbalance. Up to 12 points may be awarded based on the likelihood that the proposal will result in a “new” sustainable source of water and lead to construction of a full-scale project.

Subcriterion No. A1—Potential Quantity of Water Produced:

Up to 6 points may be awarded based on the amount of water that could potentially be treated by a full scale plant.

List the annual planned treatment capacity (acre-feet [af]). If the applicant does not yet have enough detailed information on the potential size of the full-scale treatment system, please explain and instead list the annual amount available for treatment (af).

Subcriterion No. A2—Percentage of Water Supply Imbalance:

Up to 6 points may be awarded based on the amount of water that could potentially be treated by a full scale plant relative to an imbalance in future water supply.

Identify the water supply imbalance that the project will address. Water supply imbalance is the difference between the projected available water supply and the projected water demand at least 20 years into the future.

Projections of supply and demand should take into account changes from dramatic population growth, climate variability, and heightened competition for finite water supplies. The water supply imbalance should be considered for the entire area of responsibility of the applicant.

Points will be allocated as listed below:

Annual Planned Treatment Capacity (af) x 100 Annual Projected Water Supply Imbalance (af)

OR

If the applicant does not yet have enough detailed information on the potential size of the full-scale treatment system, points will be allocated using the following formula.

Annual Amount of Water Available for Treatment (af) x 100 Annual Projected Water Supply Imbalance (af)

Subcriterion No. A3—Likelihood that the Proposal will Lead to a “New” Sustainable Source of Water:

Up to 12 points may be awarded for proposals likely to lead to “new” sustainable water from an unused source, such as brackish water, seawater, produced water, or wastewater.

Proposals should describe how the project will lead to increased sustainable water supplies (e.g., Will the full scale project help offset overdrafting of an aquifer or replace water that is currently obtained through short term contracts? How many years is the water source expected to be available?).

Evaluation Criteria B: Energy-Water Nexus (18 points) Up to 18 points will be awarded based on the extent to which the project increases the use of renewable energy, or results in energy conservation, in the management and delivery of water.

Subcriterion No. B1—Implementing Renewable Energy Improvements

Up to 9 points may be awarded for projects that include demonstration of renewable energy components (e.g., solar-electric facilities, wind energy systems, or facilities that otherwise enable the use of renewable energy).

For projects that include renewable energy, please describe the renewable energy system. Please include the following:

1) Investigation of approaches for integrating renewable energy systems with the AWT project

2) Role of the renewable energy system in the operation of the AWT project

3) Discussion of your readiness to proceed, including identification of any necessary permits that may be necessary

4) Estimated quantity of energy to be generated by the renewable energy system

5) Quantity of energy savings expected to be derived from the renewable energy system

Subcriterion No. B2—Increasing Energy Efficiency in Water Management Up to 9 points may be awarded for projects that will result in quantifiable energy savings (e.g., where water treatment will require less energy than pumping, diverting and/or transporting another source of water, or where the use of a particular water treatment technology or approach reduces the amount of energy typically consumed through traditional or nontraditional water treatment processes).

Please describe any quantifiable energy savings that are expected to result from the pilot or demonstration studies and include support for how energy savings were calculated.

Would the full scale plant require less energy than the alternative available water sources (e.g. pumping, diverting, or importing water)? If so, describe the energy savings that would result and include support for the estimated energy savings. Describe what the alternative available water sources are.

Evaluation Criteria C: Relationship of Project to Current AWT Applications and Reclamation’s Research Goals (15 points)

Up to 15 points may be awarded for proposals that will likely advance AWT technology or apply existing AWT technology in innovative ways consistent with Reclamation’s research goals for AWT. Projects that advance AWT technology or use AWT in innovative ways are expected to have broader impact on the adoption of AWT in the Western United States outside of the locale of the specific pilot or demonstration project.

Please address the following:

1) The extent to which the proposal tests new technology or applies existing technology in an innovative way

2) The manner in which the proposed technology, as applied, fits within either of Reclamation’s identified research goals

Reclamation’s Research Goals for AWT:

Goal 1: Understand the environmental impacts of AWT and develop approaches to minimize these impacts relative to other water supply alternatives

Goal 2: Develop approaches to lower the financial costs of AWT so that it is an attractive option relative to other alternatives in locations where traditional sources of water are inadequate

Evaluation Criteria D: Project Organization (15 points) Up to 15 points may be awarded based on the readiness of the applicant to proceed with the proposed pilot or demonstration project, and…