FY15 DWPR Pilot FOA.pdf

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

Denver, Colorado December 2014

Funding Opportunity Announcement No. R15AS00021

Desalination and Water Purification Research and Development

(DWPR)

Fiscal Year 2015 Pilot Projects

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.

Funding Opportunity Announcement No. R15AS00021

Desalination and Water Purification Research and Development

(DWPR)

Fiscal Year 2015 Pilot Projects

Synopsis iii

Synopsis

Federal Agency Name: Department of the Interior, Bureau of

Reclamation, Denver, Colorado

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

(DWPR)

Announcement Type: Initial announcement Funding Opportunity Announcement (FOA) Number:

R15AS00021

Catalog of Federal Domestic Assistance (CFDA) Number:

15.506

Application Due Date:

Phase 1 Phase 2

February 16, 2015 at 4:00 pm Mountain Standard Time (MST) April 27, 2015 at 4:00 pm MST

Eligible Applicants: Individuals, institutions of higher education, commercial or industrial organizations, private entities, public entities (including state and local), and Indian Tribal Governments.

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

Federal agencies are not eligible to apply.

Applicant Cost Share: All applicants must provide at least 50 non-Federal cost share

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

Estimated number of agreements to be awarded:

5 to 10

Total amount of funding available:

Up to $1,400,000

Application Checklist v

Application Checklist

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

What to Submit Required Content and Form or Format

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 17

Table of contents Page 17

Technical proposal: Pages 17–20

Executive summary Page 17

Technical project description Page 18

Evaluation criteria Pages 29–30

Environmental compliance Page 20

Required permits and approvals Page 20

Project budget proposal: Pages 20–23

Budget form

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

Funding plan Pages 23–24

Acronyms and Abbreviations vii

Acronyms and Abbreviations

ALC Agency Location Code

ARC Application Review Committee

ASAP Automated Standard Application for Payments

BGNDRF Brackish Groundwater National Desalination Research Facility

BOD biological oxygen demand

CFDA Catalog of Federal Domestic Assistance

CFR Code of Federal Regulations

COD chemical oxygen demand

DOI U.S. Department of the Interior

DWPR Desalination and Water Purification Research and Development Program

DUNS Data Universal Number System

FOA Funding Opportunity Announcement

FY fiscal year

GO Grants Officer

MST Mountain Standard Time

OMB Office of Management and Budget

QA/QC Quality Assurance and Quality Control

Reclamation Bureau of Reclamation

SAM System of Award Management

Contents ix

Contents Page

Application Checklist ............................................................................................. v Acronyms and Abbreviations ............................................................................. vii Section I. Funding Opportunity Description

I.A. DWPR Overview I.B. DWPR Priorities

Section II. Award Information II.A. Pilot Projects Overview II.B. Facility and Equipment Resources II.C. Deliverables

III.C.1. Quarterly reports

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

III.B.1. Cost-Share Regulations III.B.2. In-Kind Contributions III.B.3. Pre-Award Costs III.B.4. Indirect Costs III.B.5. System of Award Management and Automated

Standard Application for Payments Registration III.C. Other Regulations

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.E. Application Preparation Instructions

IV.E.1. Application Format and Length IV.E.2. Application Content

SF-424 Application Cover Page SF-424 Assurances Technical Proposal Content Project Budget Instructions Funding Plan and Letters of Commitment Instructions

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

V.A.1. First-Level Screening V.A.2. Second-Level Evaluation (Technical Review) V.A.3. Third-Level Evaluation (Managerial Review) V.B.1. Technical Factors V.B.2. Managerial Factors V.B.3. Additional Cost-Share

Funding Opportunity Announcement No. R15AS00021 x

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 VI.C.3. Significant Developments Reports

V.I.D. Reclamation Responsibilities Section VII. Federal Award Agency Contacts Section VIII. Technical Supplementary Information Section IX. Financial Assistance Information

IX. A. Use and Disclosure of Proposal Information - Department of the Interior (APR 1984)

IX.B. Patents, Copyrights, Rights to Data IX.B.1. Patent Rights IX.B.2. Copyrights (Reclamation 08/03) IX.B.3. Rights to Data (Reclamation 08/03)

Section I. Funding Opportunity Description

Section I. Funding Opportunity Description

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

Reclamation is interested in research where the benefits are widespread but where private-sector entities are not able to make the full investment and assume all the risks. Reclamation is also interested in research that would have a national significance—where the issues are of large-scale concern and the benefits accrue to a large sector of the public. The authorizing legislation for this program is the Reclamation Act of 1902, June 17, 1902, Sec.1 and Sec. 2, and the Omnibus Public Land Management Act of 2009, Public Law 111-11, section 9509, Research Agreement Authority.

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

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

Assess environmental impacts of desalination intake and concentrate management approaches

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

Assess the quantity and distribution of brackish water resources nationwide

Improve pretreatment for membrane desalination

Improve membrane system performance

Improve existing desalination approaches to reduce primary energy use

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

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

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

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

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

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

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

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

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

I.B. DWPR Priorities For fiscal year (FY) 2015, Reclamation’s DWPR priorities are the following:

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

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

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

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

Section I. Funding Opportunity Description

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

Section II. Award Information

This FOA is intended for pilot projects only as described below. Applications for research and laboratory studies should be submitted under FOA No.

R15AS00019. Applications received under this FOA for research and laboratory studies may be evaluated under the Research and Laboratory studies FOA based upon the initial determination of the project’s merit and selection for the second phase review and evaluation.

For FY 2015, Reclamation anticipates awarding up to $1,400,000 for projects funded under this FOA. The number of awards made and the aggregate amount awarded for each category will be based on the quality of the applications received and congressional funding available.

It is anticipated that awards will be made no later than September 2015, with an anticipated project start date on or around October 1, 2015.

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

Description: Pilot projects are typically preceded by research studies (funded previously by DWPR or others) that demonstrate that the technology works. They usually involve flow rates between 1 and 20 gallons per minute and are tested using natural water sources rather than synthetic or laboratory-made feed water.

Pilot projects are used to determine the technical, practical, and economic ability of a process. Costs are developed for capital and operation and maintenance costs.

Funding: Reclamation cost-share portion of up to $400,000 per agreement in the Pilot Project category. This is divided as follows: up to $200,000 for the first year for pilot plant design, construction and installation and up to $200,000 for an optional second year for testing, modification and evaluation.

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

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

II.C. Deliverables Technical and financial quarterly reports, a final report and a final presentation in Denver, Colorado, are the required deliverables. The subsections below describe the requirements for these deliverables.

II.C.1. Quarterly reports Reports shall be submitted quarterly by the Project Manager and will be used by Reclamation to ensure that the goals and objectives of the project are being met.

The following should be included in each quarterly report:

For each project or activity within a task, list the start date and anticipated completion date as well as the work conducted within the reporting period.

Describe any significant accomplishments as well as any unanticipated delays encountered during the reporting period.

Discuss whether the activities comprising the agreement are on schedule to meet expected completion date. If not, discuss the actions being taken bring the activities back on schedule.

State the progress of spending within each task.

Compare spending in each task relative to the planned expenditures and provide an explanation for any discrepancies.

Provide sufficient information to allow for tracking of project expenditures for each task.

Provide, in pdf format, copies of presentations given at conferences and any journal publications that have resulted in this study during the reporting period.

II.C.2. Financial Reports

The applicant shall submit an SF-425 Federal Financial Report quarterly and at project completion.

II.C.3. Final Report

Please note that final reports are public documents and will be made available on Reclamation’s website. Upon award of an agreement, recipients will be provided information regarding the format to be used in completion of their final report.

Publication guidelines are at <www.usbr.gov/research/AWT/DWPR/appendix16- 4.pdf. >

Previously submitted reports are at <www.usbr.gov/research/AWT/DWPR/DWPR_Reports.html>.

II.C.4. Presentation

Approximately at the time of delivery of the draft final report, the Project Manager shall make a presentation in Denver, Colorado on the achievements of the project. This review shall inform Reclamation on the project accomplishments, the final results of each task item, and suggestions for future work.

Section III. Eligibility Information

III.A. Eligible Applicants

Any responsible source, including individuals, institutions of higher education, commercial or industrial organizations, private entities, public entities (including state and local), or Indian Tribal Governments, may submit an application which will be considered by Reclamation. Foreign entities are not eligible for funding under the authorizing legislation for this program. Federal agencies are not eligible to apply.

The applicant must conduct the project within the United States, including the District of Columbia, Guam, Puerto Rico, and the Virgin Islands.

III.B. Cost Sharing Requirements

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

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

III.B.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 <www.whitehouse.gov/omb/circulars> (2 Code of Federal Regulations [CFR] 200.56, <www.ecfr.gov>).

III.B.2. In-Kind Contributions In-kind contributions constitute the value of noncash contributions that benefit a federally assisted project. These contributions may be in the form of real property, equipment, supplies and other expendable property, as well as the value of goods and services directly benefiting and specifically identifiable to the 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 this project.

Depreciation already accounted for may not be applied as a cost contribution.

Federal funding from other agencies may be used as a portion of your cost sharing only if permitted by the authorizing legislation of that funding source, and only to the extent that the total amount of Federal funding from all sources does not exceed 50 percent of the total project cost.

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

In no case will pre-award costs incurred prior to October 1, 2014 be considered for cost share purposes.

For example, pre-award 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.B.4. Indirect Costs Indirect costs that will be incurred during the development or construction of a project, which will not otherwise be recovered, may be included as part of the applicant’s cost share. Indirect costs are those that are both:

1) Incurred for a common or joint purpose benefiting more than one cost objective.

2) Not readily assignable to any one cost objective. For further information on indirect costs, refer to the applicable OMB cost principles codified within 2 CFR 200.

For further information on indirect costs, refer to the applicable OMB cost principles circular referenced above and available at <www.whitehouse.gov/omb/circulars> (2 CFR 200.56, <www.ecfr.gov>).

III.B.5. System of Award Management and Automated Standard Application for Payments Registration All applicants must be registered in the System for Awards Management (SAM) prior to award under this FOA. Instructions for registering for SAM are located at <www.sam.gov/portal/public/SAM>. All applicants must maintain an active SAM registration with current information at all times while they have an active Federal award or an application under consideration.

All applicants must also be registered with and process all payments through the Department of Treasury Automated Standard Application for Payments (ASAP) system. All recipients with active financial assistance agreements with Reclamation must be enrolled in ASAP under Reclamation’s Agency Location Code (ALC) and the Data Universal Number System (DUNS) number prior to the award of funds. If recipients have multiple DUNS, numbers they must separately enroll within ASAP for each unique DUNS number and/or Agency. All of the information on the enrollment process for recipients, including the enrollment initiation form and the enrollment mailbox, is at: <www.usbr.gov/mso/aamd/ asap.html>. Note that if your organization is currently enrolled in the ASAP system with an agency other than Reclamation, you must enroll specifically with Reclamation in order to be eligible for award and process payments.

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

Section IV. Application and Submission Information

Section IV. Application and Submission Information

IV.A. Address to Request Application Package

This document contains all the information, forms, and electronic addresses required to obtain the information required for submission of an application. If you are unable to access this information electronically, you can request paper copies of any of the documents referenced in this FOA by contacting:

By mail: Bureau of Reclamation Financial Assistance Management Branch Attn: Michael Dieterich Mail Code: 84-27852 P. O. Box 25007 Denver CO 80225

By email: mdieterich@usbr.gov

By phone: 303-445-2484

IV.B. Application Submission Date and Time

Application submission deadlines:

Phase 1: February 16, 2015 at 4:00 pm Mountain Standard Time

(MST)

Phase 2: April 27, 2015 at 4:00 pm MST

Applications received after the 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.

IV.C. Application Delivery Instructions

Applications may be submitted electronically through <www.grants.gov>, or hardcopies may be submitted as follows.

Mailing Address: Bureau of Reclamation

Denver Federal Center Attn: Michael Dieterich Mail Code: 84-27852, P O Box 25007

Denver Colorado, 80225

Express mail/delivery services:

Bureau of Reclamation Denver Federal Center Attn: Michael Dieterich Mail Code: 84-27852 6th Avenue and Kipling Street Building 67, Room 152 Denver Colorado 80225 Mailroom: (303) 445-2088

Electronic Applications:

Electronic applications must be submitted through Grants.gov at <www.grants.gov>. Reclamation encourages applicants to submit their applications for funding electronically through <www.grants.gov/applicants/ apply_for_grants.jsp>. Applicant resource documents and a full set of instructions for registering with Grants.gov and completing and submitting applications online are at: >www.grants.gov/applicants/resources.jsp>.

Please note that submission of an application electronically requires prior registration through Grants.gov, which may take 7 to 21 days. Registration instructions are at <www.grants.gov/applicants/get_registered.jsp<.

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 number will provide evidence of your attempt to submit an application prior to the submission deadline.

IV.D. Instructions for Submission of Project Application

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

For hardcopy submission:

o 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.”

o Please only binder clip documents submitted.

o Hard copy applications may be submitted by mail or express methods to the addresses listed in Section IV.C, “Application Delivery Instructions,” above.

o Materials arriving separately will not be included in the application package and may result in the application being rejected or not funded. This does not apply to letters of support, funding commitment letters and official resolutions.

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

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

For electronic submissions:

o Please refer to www.grants.gov and Section IV.C, “Application

Delivery Instructions”

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

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

To allow for innovation, you are not limited to the suggested topics described in Section VIII, “Technical Supplemental Information.” However, the value to this program of any other tasks proposed must be substantiated in your proposal. You are requested to carefully evaluate the program goals and objectives described in Section I.A “DWPR Overview”, the DWPR priorities described in Section I.B “DWPR Priorities”, and the topic areas set forth in Section VIII in light of the overall project objectives.

IV.E.1. Application Format and Length The total application package shall be no more than 50 (fifty) pages and shall be printed single-sided. If an application exceeds 50 pages, only the first 50 pages will be evaluated. The font shall be at least 12 points in size, one font type, and easily readable (1 inch margins, Arial, Calibri, or Times New Roman fonts). Page size shall be 8 ½” x 11,” including all charts, maps, or drawings.

The Technical Proposal section of your application shall be limited to a maximum of 30 (thirty) pages and printed single-sided. If the Technical Proposal section of an application exceeds 30 pages, only the first 30 pages will be evaluated.

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

IV.E.2. 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 Form

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

Project budget information o Budget Proposal o Budget Narrative o SF-424 A Form

Funding plan and letters of commitment

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

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

SF-424 Assurances A SF-424B – Assurances – Non-Construction Programs, must be 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.

IV.D.5. Technical Proposal Content The format listed in the following subsections shall be used in preparing the technical proposal:

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

Name of organization

Address of organization

Contact information for the project manager including:

o Name o Address o Telephone o E-mail address

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

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

Please limit to 2 pages.

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

What is the problem to be solved?

What is the proposed solution?

Provide background and cite relevant literature and past experience.

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

What technical risks are associated with the proposed investigation?

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

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

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

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

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

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

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

Key Personnel Qualifications Provide the following information on personnel:

Identification of Project Manager assigned to perform the work.

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

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

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

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

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

Name of the project

Description of the work

Name and address of the acquiring government agency or commercial customer, and the name(s) and telephone number(s) of references from the acquiring agency or customer who may be contacted for further information

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

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

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

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

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

Equipment ownership shall be in accordance with the requirements of the applicable OMB circular.

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

IV.D.6. Project Budget Instructions Submission of a budget proposal and detailed budget narrative is mandatory.

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

Budget Narrative The budget narrative provides a discussion of, or explanation for, items included in the budget proposal. Include the value of in-kind contributions of goods and services and sources of funds provided to complete the project. The types of information to describe in the narrative include, but are not limited, to those listed below. Table 1 provides a template for the budget narrative.

Salaries and Wages. Indicate the project manager and other key personnel, indicate salaries and wages, estimated hours or percent of time, and rate of compensation proposed.

Fringe Benefits. Indicate rates/amounts, what costs are included in this category, and the basis of the rate computations.

Travel. Include purpose of trip, destination, number of persons traveling, length of stay, and all travel costs (please include one trip to Denver, Colorado, for the final report presentation).

Equipment. Itemize costs of all equipment having a value of over $5,000 and include information as to the need for the equipment. If equipment is being rented, specify the rental details including price.

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.

Contractual. Identify all work that will be accomplished by sub-recipients, 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.

Environmental and Regulatory Compliance Costs. These costs refer to costs incurred by the recipient in complying with environmental regulations with any required documentation of environmental compliance, analyses, permits, or approval.

Reporting. Include line item costs for preparing and submitting quarterly financial and progress reports, the final report, and final presentation in Denver, Colorado in the budget proposal

Other Expenses. Any other expenses not included in the above categories shall be listed in this category, along with a description of the item and what it will be used for. No profit or fee will be allowed.

Table 1—Sample budget proposal format

Budget item description

Computation Quantity type (hours/days)

Total cost $/Unit Quantity

Salaries and wages Employee 1 $ - Employee 2 $ - Employee 3 $ -

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

Travel

TRAVEL TO DENVER $ -

Trip 1 $ - Trip 2 $ -

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

Supplies/materials Item A $ - Item B $ -

Contractual/construction Contractor A $ - Contractor B $ -

Environmental and Regulatory Compliance Costs

Item A $ - Item B $ -

Reporting $ - Quarterly Reports $ - Final Report $ - Final Presentation $ -

Other $ -

Total direct costs $ - Indirect costs - __%

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

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

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

Indirect Costs Show the proposed rate, cost base, and proposed amount for allowable indirect costs based on the applicable OMB circular cost principles (see Section III.B.1 “Cost-Share Regulations”). It is not acceptable to simply incorporate indirect rates within other direct cost line items.

If the recipient has separate rates for recovery of labor overhead and general and administrative costs, each rate shall be shown. The applicant should propose rates for evaluation purposes, which will be used as fixed or ceiling rates in any resulting award. Include a copy of any federally approved indirect cost rate agreement. If a federally approved indirect rate agreement is not available, provide supporting documentation for the rate.

If you do not have a federally approved indirect cost rate agreement, or if unapproved rates are used, explain why, and include the computational basis for the indirect expense pool and corresponding allocation base for each rate.

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

Funding Plan and Letters of Commitment Instructions

Funding Plan

The applicant’s proposal shall include a funding plan that describes how the non- Reclamation share of the project costs will be obtained. Reclamation will use this information in making a determination of financial capability. In accordance with Section III.B. “Cost Sharing,” all applicants must be willing to fund at least 50 percent of the project costs and provide documentation showing the sources of non-Federal funding that total at least 50 percent of the project costs. Table 2 provides a template to use for funding sources.

Table 2—Funding sources

Funding sources Percent of total project cost Total cost by source Recipient funding % $ - Reclamation funding % $ - Other Federal funding % $ -

Totals % $ -

Please include the following chart (table 3) to summarize your non-Federal and other Federal funding sources. Denote in-kind contributions with an asterisk (*). Please ensure that the total Federal funding (Reclamation and all other Federal sources) is consistent with cost share guidelines described in Section III.B. “Cost Sharing.”

Table 3. Summary of non-federal and Federal funding sources.

Funding Sources Funding Amount Non-federal Entities

1.

2.

3.

Non-federal Subtotal:

Other Federal Entities 1.

2.

3.

Other Federal Subtotal:

Requested Reclamation Funding:

Total Project Funding:

1) Describe any in-kind costs incurred before the anticipated project start date that the applicant seeks to include as project costs. Cost incurred prior to the pre-award cost date identified in Section III.B.3 “Pre-Award Costs” will not be eligible under this program, either for direct reimbursement or as cost-share. The description of these costs shall include:

(a) What project expenses have been incurred

(b) How they benefitted the project

(c) The amount of the expense

(d) The date of cost incurrence

2) Provide the identity and amount of funding to be provided by funding partners, as well as the required letters of commitment.

3) Describe any funding requested or received from other Federal partners.

Note: Other sources of Federal funding may not be counted towards your cost share unless otherwise allowed by statute.

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

Letters of Commitment

Project funding provided by sources other than the applicant shall be supported with letters of commitment from these additional sources. This is a mandatory requirement. Letters of commitment shall identify:

1) The source and amount of funding commitment

2) The date the funds will be available to the applicant

3) Any time constraints on the availability of funds

4) Any other contingencies associated with the funding commitment

Commitment letters should be included with your project application. If a final funding commitment has not been received by the date of application, commitment letters are to be submitted by no later than May 29, 2015.

Section V. Application Review Information

Section V. Application Review Information

V.A. Section Review and Selection Process

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

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

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

Open DWPR FOA Competition

DWPR Selections Announced

Technical review to select best proposals for phase 2 - 2/16/2015

Phase 1 ARC Review

Selected proposals receive feedback from ARC for revision - 4/6/2015

No letters sent to proposals not selected for phase 2

Technical review of revised proposals - 4/27/2015

Phase 2 ARC Review

No letters sent to proposals not selected

Provide recommendations to Commissioners Office

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

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

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

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

The application includes appropriate commitment letters, prepared in accordance with Section IV.E.2 “Application Content” subsection “Letters of Commitment” that indicate that the applicant is capable of providing the amount of funding or in-kind contributions specified in the funding plan. Final cost share funding commitments are to be submitted to Reclamation by May 29, 2015.

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

Pilot projects should be accomplished within 25 months.

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

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

The ARC will provide comments and feedback to the selected group of applications that will be moving forward to phase 2. These applicants will have a chance to review the comments and address them in a revised application. The revised application will be submitted to Reclamation by the applicant for further review and the ARC will score all selected applications against the evaluation criteria in Section V.B. “Evaluation Criteria” and make a final recommendation to the management team. Submission to phase 1 is required for phase 2 consideration.

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

The deadline for phase 1 application submission is February 16, 2015. The ARC will review and make their recommendations and provide feedback to the selected applications by April 6, 2015. The selected applicants in phase 2 will have the opportunity to revise and resubmit their application by April 27, 2015.

V.A.3. Third-Level Evaluation (Managerial Review) Management will conduct a final review to prioritize projects based on availability of funds and to consider the research goals, objectives and priorities listed in Sections I.A. “DWPR Overview” and I.B. “DWPR Priorities.”

V.B. Evaluation Criteria

The relative importance to be placed on the evaluation criteria is shown below.

Applications will be evaluated by the ARC in accordance with these criteria and the corresponding weights assigned to each criterion as displayed in table 4.

V.B.1. Technical Factors

1) Impact of the proposed work on the current technology and on its related economics if a completely successful outcome were achieved. Examples include energy and cost reduction, impact on water supply and/or ease use/operation of the technology.

2) Relevance of proposed pilot/demonstration plant investigation to DWPR goals, objectives, and priorities.

3) Demonstrated familiarity with current technology and pilot test readiness of technology.

4) Applicability of the project to local, state, regional, or national water problems, industries and issues.

5) Availability of adequate pilot plant site, equipment, and instrumentation.

V.B.2. Managerial Factors

1) The qualifications, capabilities, and experience of the proposed project manager and other key personnel who are critical to achievement of the proposed objectives

2) Adequacy, completeness, and realism of the research schedule, task phasing, and milestones

3) Proposed procedures for Quality Assurance and Quality Control (QA/QC) protocols to be used throughout the project including statistical data analysis, peer review, instrument calibration, etc.

V.B.3. Additional Cost-Share Applicants providing more than the minimum 50 percent cost share shall be given additional consideration.

Table 4. Evaluation Criteria and Corresponding Weight

Criteria Max Points

Technical

Impact of the proposed work 25

Relevance of proposed pilot/demonstration plant investigation to DWPR goals, objectives, and priorities

Demonstrated familiarity with current technology and pilot readiness of technology

Applicability of the project to local, state, regional or national water problems, industries and issues

Availability of adequate pilot plant site, equipment and instrumentation

Managerial

Qualifications, capabilities, and experience 5

Adequacy, completeness, and realism of the schedule 5

QA/QC 5

Cost Cost Share 10

Total Possible Points 100

V.C. Pre-Award Clearances and Approvals

After completion of the third level evaluation, Reclamation will complete a business evaluation and determination of responsibility. During these evaluations, the Reclamation Grants Officer (GO) will also consider several factors which are important, but are not quantified, such as:

Pre-award clearances, determinations, reviews, and approvals

Allowability, allocability, and reasonableness of proposed costs

Financial strength and stability of the organization

Past performance, including satisfactory compliance with all terms and conditions of previous awards, such as compliance with reporting requirements, proper procurement of supplies and services, and compliance with audit requirements

Adequacy of personnel practices; procurement procedures; and accounting policies and procedures, in accordance with the applicable OMB circulars referenced in Section III.B.1 “Cost-Share Regulations”

If the results of all pre-award reviews and clearances are satisfactory, an award of funding will be made once the agreement is finalized.

Section VI. Award Administration Information

Section VI. Award Administration Information

VI.A. Award Notices

Successful applicants will receive, by electronic or regular mail, a notice of award.

VI.B. Award Document

If your organization is awarded a financial assistance agreement as a result of this FOA, the proposed…