FY17_DWPR_Full_Scale_FOA.FINAL508.pdf

Funding Opportunity Announcement No. BOR-DO-17-F007

Desalination and Water Purification Research Program Fiscal Year 2017 Full Scale Testing Projects

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

November 2016

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

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

Cover photo: Reverse osmosis trains, North Cape Coral Reverse Osmosis Plant.

Synopsis

Synopsis

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

Funding Opportunity Title: Desalination and Water Purification Research (DWPR) Program:

Full Scale Testing Projects for fiscal year (FY) 2017

Announcement Type: Funding Opportunity Announcement (FOA)

Funding Opportunity Number:

BOR-DO-17-F007

Catalog of Federal Domestic Assistance (CFDA) Number:

15.506

Dates: Application due date:

Thursday, January 12, 2017 at 4:00 pm Mountain Standard Time

(MST)

Eligible Applicants:

(See FOA Sec. C.1)

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

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

Federal agencies are not eligible to apply.

Recipient Cost Share:

(See FOA Sec. C.2)

All applicants must provide at least 75 percent non-Federal cost share.

Federal Funding Amount:

(See FOA Sec. B.1)

Up to $500,000 per applicant per year, for a total of up to $1,500,000 for three years.

Estimated Number of Agreements to be Awarded:

(See FOA Sec. B.1)

1 to 4 i

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Application Checklist

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

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

Mandatory Federal Forms:

Application for Federal Financial Assistance

Budget Information

Assurances

See Sec. D.2.2.1 SF-424, SF-424A, and SF-424B forms may be obtained at http://apply07.grants.gov/ apply/FormLinks?family=15

Title page See Sec. D.2.2.2 Page 13 *

Table of contents See Sec. D.2.2.3 Page 13 *

Technical proposal:

Executive summary

Background

Technical approach

Scope of work

Research work plan and schedule Project management

Quality assurance / quality control program Facilities and equipment

Environmental impacts

Evaluation criteria

See Sec D.2.2.4

See Sec. E.1

Pages 13 to 15

Pages 31 to 32

Personnel Qualifications See Sec. D.2.2.5 Page 16

Environmental and cultural resources compliance

See Sec. D.2.2.6 Pages 16 to 17 *

Required permits and approvals See Sec. D.2.2.7 Page 18 *

Letters of support See Sec. D.2.2.8 Page 18 *

Project Budget:

Funding plan and letters of commitment Budget proposal

Budget narrative

See Sec. D.2.2.9 Pages 18 to 24

Pages 18 to 20

Pages 21 to 24

Unique Entity Identifier and System for Award Management

See Sec. D.3 Page 25 **

* Submit materials with your application.

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

iii http://apply07.grants.gov/%20apply/FormLinks?family=15 http://apply07.grants.gov/%20apply/FormLinks?family=15

Acronyms and Abbreviations

Acronyms and Abbreviations

ALC Agency Location Code ARC Application Review Committee ASAP Automated Standard Application for Payments CFDA Catalog of Federal Domestic Assistance CFR Code of Federal Regulations CPA Certified Public Account CWA Clean Water Act DOI U.S. Department of the Interior DUNS Data Universal Number System DWPR Desalination and Water Purification Research Program EIS Environmental Impact Statement ESA Endangered Species Act FAPIIS Federal Award Performance Integrity Information System FOA Funding Opportunity Announcement FOIA Freedom of Information Act FY Fiscal Year MST Mountain Standard Time NEPA National Environmental Policy Act NHPA National Historic Preservation Act QA/QC Quality Assurance and Quality Control Reclamation Bureau of Reclamation SAM System for Award Management v

Contents

Contents

Page Section A. Funding Opportunity Description

A.1. Program Information

A.2. Objective of this Funding Opportunity Announcement

A.3. Statutory Authority

A.4. Other Related Funding Opportunities

Section B. Award Information

B.1. Total Project Funding

B.2. Project Funding Limitations

B.3. Assistance Instrument

Section C: Eligibility Information

C.1. Eligible Applicants

C.2. Cost Sharing Requirements

C.3. Eligible Projects

Section D. Application and Submission Information

D.1. Address to Request Application Package

D.2. Content and Form of Application Submission

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

D.4. Submission Date and Time

D.5. Intergovernmental Review

D.6. Funding Restrictions: Pre-award Costs

D.7. Automated Standard Application for Payments Registration

Section E. Application Review Information

E.1. Technical Proposal: Evaluation Criteria

E.2. Review and Selection Process

E.3. Federal Award Performance Integrity Information System

E.4. Anticipated Announcement and Federal Award Date

Section F. Federal Award Administration Information

F.1. Federal Award Notices

F.2. Administrative and National Policy Requirements

F.3. Reporting Requirements and Distribution

F.4. Releasing Applications

Section G. Agency Contacts

G.1. Reclamation Financial Assistance Management Contact

G.2. Reclamation Program Coordinator Contact vii

Section A. Funding Opportunity Description

A.1. Program Information The U.S. Department of the Interior (DOI), Bureau of Reclamation’s (Reclamation) Desalination and Water Purification Research Program (DWPR) works with Reclamation researchers and partners to develop more innovative, cost-effective, and technology efficient ways to desalinate water. DWPR funding plays a critical role in iterating an idea from the lab through to a real-world demonstration that can both attract industry commercialization and serve the water treatment community in its usefulness.

Through DWPR, research sponsors partner with Reclamation to address a broad range of desalting and water purification needs. Reclamation is interested in research where the benefits are widespread but where private-sector entities are not able to make the full investment and assume all the risks. Reclamation is also interested in research that has a national significance – where the issues are of large-scale concern and the benefits accrue to a large sector of the public.

The goal of DWPR is to reduce the costs, energy consumption, 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 objectives of DWPR are to:

• Assess environmental impacts of desalination intake and concentrate management approaches

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

• Improve pretreatment for membrane desalination

• Improve membrane system performance

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

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

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

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

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

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

For fiscal year (FY) 2017, Reclamation’s DWPR priorities are focused in part on goals identified by the White House “Water Resource Challenges and Opportunities for Water Technology Innovation” document published December 15, 2015. The following is the list of priorities for FY 2017:

• Novel water treatment technologies to increase water supply, reduce operational costs, reduce energy consumption, and/or reduce environmental impacts

• Demonstrating novel processes and/or materials to treat impaired water at full scale

• Innovative new smart systems to improve the efficiency, longevity, and reliability of water treatment systems for real-time monitoring and automation

For further information on the DWPR Program, please visit www.usbr.gov/research/dwpr.

A.2. Objective of this Funding Opportunity Announcement The objective of this Funding Opportunity Announcement (FOA) is to invite private industry, universities, water utilities, and other research sponsors to submit proposals to cost share full scale testing projects that address DWPR program goals and objectives.

Full scale testing projects are generally preceded by pilot scale testing (funded previously by DWPR or others) that demonstrate that the technology works.

A.3. Statutory Authority The authorizing legislation for is Reclamation Act of 1902, June 17, Sec.1 and Sec.2, and the Omnibus Public Land Management Act of 2009, Public Law 111-11, section 9509, Research Agreement Authority.

A.4. Other Related Funding Opportunities

• Desalination and Water Purification Research Program: Research and

Laboratory Scale Projects – Through the FY 2017 Research and Laboratory Scale Projects FOA, funding is available for research and laboratory scale projects to determine the viability of novel processes and/or technologies that address the program’s goal and objectives in conjunction with individuals, institutions of higher education, commercial or industrial organizations, private entities, public entities (including state and local), non-profit organizations, and Indian Tribal Governments.

• Desalination and Water Purification Research Program: Pilot Scale Testing Projects – Through the FY 2017 Pilot Scale Testing Projects FOA, funding is available for pilot projects to test a novel process at a larger scale to determine the technology viability in conjunction with individuals, institutions of higher http://www.usbr.gov/research/dwpr education, commercial or industrial organizations, private entities, public entities (including state and local), and Indian Tribal Governments.

• WaterSMART: Water Reclamation Research under the Title XVI Water Reclamation and Reuse Program – Through the FY 2017 Water Reclamation Research under the Title XVI Water Reclamation and Reuse Program FOA, research that supports the application of commercially available water reclamation and reuse technologies is funded jointly by Reclamation and state, regional or local authorities; Indian tribes or tribal organizations; or other entities such as water districts, wastewater districts, or rural water districts in the western United States or united States Territories as identified in the Reclamation Act of June 17, 1902, as amended, or Hawaii.

Section B. Award Information

Section B. Award Information B.1. Total Project Funding The President’s FY 2017 budget request includes $5.8 million for the DWPR program.

Reclamation anticipates awarding up to $1,000,000 for projects funded under this FOA.

Applications submitted under this FOA also may be considered if other funding becomes available in FY 2017 or thereafter.

B.2. Project Funding Limitations Funding is limited to $1,500,000 in federal funding per application. This is divided as follows: up to $500,000 for the first year and up to $500,000 for an optional second year, and up to $500,000 for an optional third year for finalizing testing, modification and evaluation. Second and third year funding is not guaranteed and is dependent on congressional funding and adequate work completed in year one and two. The number of awards made and the aggregate amount awarded will be based on the quality of the applications received and congressional funding available. The Federal share shall not exceed 25 percent of the total full scale project cost.

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

• Coordination of contributions made by team members from the different partners and evaluating successes as each task is undertaken as well as suggesting changes to tasks to accomplish project goal

• Review, input, and comment on draft and final research outcomes including the final project report

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

Section C. Eligibility Information

Section C: Eligibility Information C.1. Eligible Applicants Any responsible research sponsor is eligible to receive an award under this FOA, including:

• individuals

• institutions of higher education

• commercial or industrial organizations

• private entities

• State and local governmental entities

• non-profit organizations

• Federally-funded research and development centers

• tribal governments and organizations

Those not eligible include the following entities:

• Federal governmental entities

• Foreign entities

C.2. Cost Sharing Requirements Applicants must be capable of cost sharing 75 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.

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

C.2.1. Cost Share Regulations

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

C.2.2. 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 an award under this FOA; except where the Federal statute http://www.ecfr.gov/ authorizing a program specifically provides that Federal funds made available for such program can be applied to matching or cost sharing requirements of other Federal programs, such as awards to tribal organizations under P.L. 93-638, as amended.

Applicants should refer to 2 CFR §200.434 for regulations regarding the valuation of in-kind donations and contributions, available at Electronic Code of Federal Regulations www.ecfr.gov.

C.3. Eligible Projects C.3.1. Eligible Projects

Proposals for full scale testing projects that address Reclamation’s DWPR program goals and objectives are eligible for funding under this FOA. To be eligible, the project must include the testing of full scale size (i.e. testing 8” RO elements) novel treatment technologies that are being evaluated for commercialization. Proposals shall be limited to the testing of an existing full scale system or a full scale system that is anticipated to be available for testing at the time of award.

Eligible activities under the funding opportunity include testing to measure actual energy consumption and actual water recovery that can be translated to full scale estimates. All of the data collected during full scale testing should allow for costs to be developed for capital and operation and maintenance of the novel treatment technology. These full scale projects are also known as demonstration scale and provide the ability to understand and explore real concerns and challenges with how a novel treatment process operates at full scale.

Applications received under this FOA for research and laboratory scale projects or pilot scale testing projects may be evaluated under the Research & Laboratory Scale Projects FOA or Pilot Scale Testing Projects FOA based upon the initial determination of the project’s merit and selection for the second phase review and evaluation.

C.3.2. Ineligible Projects

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

• Proposals for research and laboratory scale projects, such as projects that are currently proposed or funded under Reclamation’s DWPR Research & Laboratory Scale Projects FOA

• Proposals for pilot scale testing projects, such as those that are currently proposed or funded under Reclamation’s DWPR Pilot Scale Testing Projects FOA

• Proposals for research projects utilizing technologies or processes currently commercially available in the industry for deployment and implementation, such as studies currently proposed or funded under Reclamation’s Title XVI Water Reclamation and Reuse Program

• Proposals for the construction of a full scale testing unit.

• Proposals for the construction of permanent research facilities

Section C. Eligibility Information

C.3.3. Length of Projects

In general, proposed projects should be completed within 36 months of award, including the required project presentation (see Section F.3 Reporting Requirements). Applications for projects requiring more time will be considered for funding only under limited circumstances.

Section D. Application and Submission Information

Section D. Application and Submission Information

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

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

By mail: Bureau of Reclamation Financial Assistance Operations Section Attn: Ms. Janeen Koza Mail Code: 84-27852 P.O. Box 25007

Denver, Colorado 80225

By e-mail: jkoza@usbr.gov

By telephone: 303-445-3446

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

D.2.1. Application Format and Length

The total application package shall be no more than 30 (thirty) consecutively numbered pages. If an application exceeds 30 pages, only the first 30 pages will be evaluated. The font shall be at least 12 points in size and easily readable. Page size shall be 8½ by 11 inches, including charts, maps, and drawings. Oversized pages will not be accepted. The technical proposal and evaluation criteria section shall be limited to a maximum of 20 pages. The SF-424 forms, letters of project support, and personnel qualifications will not be considered in the total page count. Applications will be prescreened for compliance to the page number limitations.

D.2.2. Application Content

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

• Mandatory Federal Forms (will not count toward the page limitation) o SF-424, Application for Federal Assistance o SF-424A, Budget Information Non-Construction Programs mailto:jkoza@usbr.gov o SF-424B, Assurances Non-Construction Programs

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

• Title page

• Table of contents

• Technical proposal and evaluation criteria (limited to 20 pages) o Executive summary o Background/Introduction o Technical approach o Scope of work o Research work plan and schedule o Project management o Quality assurance / quality control o Facilities and equipment information o Environmental impacts o Evaluation criteria

• Environmental Compliance

• Required permits or approvals

• Personnel qualifications (will not count toward the page limitation)

• Letters of support (will not count toward the page limitation)

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

D.2.2.1. Mandatory Federal Forms

The application must include the following standard Federal forms.

SF-424 Application for Federal Assistance

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

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

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

SF-424 Assurances

A SF-424B, Assurances Non-Construction Programs must be submitted with the application. Failure to submit a properly signed SF-424B may result in the elimination of the application from further consideration.

D.2.2.2. Title Page

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

D.2.2.3. Table of Contents

List all major sections of the proposal in the table of contents.

D.2.2.4. Technical Proposal and Evaluation Criteria

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

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

(1) Executive summary

(2) Background/Introduction

(3) Technical approach

(4) Scope of work

(5) Research work plan and schedule

(6) Project management

(7) Quality assurance and quality control program

(8) Facilities and equipment information

(9) Environmental impacts

(10) Evaluation criteria

Executive Summary The executive summary should include:

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

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

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

Background/Introduction

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

• What is the problem to be solved?

• 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?

• 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

Describe the work in detail, including specific activities that will be accomplished. This description should have sufficient detail to permit a comprehensive evaluation of the proposal. The applicant’s understanding will be established not only by the proposed approach, but also by anticipating and/or identifying the various problems and assessment of the severity of each problem.

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

Project Management

Identify the proposed organization to manage the work, its relationship to the applicant’s overall corporate structure, and the function and responsibilities of any subcontractors. Include a description of the work anticipated to be performed under any subcontract.

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

Facilities and Equipment Information Describe the facilities where the work will be performed. List the equipment that is available for use on this agreement and which will be required for carrying out the proposed work. List and justify any special equipment that is required and indicate the extent to which the work cannot be accomplished without it.

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

Environmental Impacts

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

Evaluation Criteria

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

The evaluation criteria portion of your application should thoroughly address each criterion and subcriterion to assist in the complete and accurate evaluation of your proposal.

D.2.2.5 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.

Note: this will not count against the application page limit.

D.2.2.6. Environmental and Cultural Resources Compliance

If the proposed project includes ground disturbing activities, environmental and cultural resources compliance will be required. To allow Reclamation to assess the probable environmental and cultural resources impacts and costs associated with a proposed research study, proposals that include ground disturbing activities must include responses to the following list of questions focusing on the National Environmental Policy Act (NEPA), Endangered Species Act (ESA), and National Historic Preservation Act (NHPA) requirements. Please answer the following questions to the best of your knowledge. If any question is not applicable to the project, please explain why. The application should address the following:

• Will the proposed project impact the surrounding environment (e.g., soil [dust], air, water [quality and quantity], animal habitat)? Please briefly describe all earth-disturbing work and any work that will affect the air, water, or animal habitat in the project area. Please also explain the impacts of such work on the surrounding environment and any steps that could be taken to minimize the impacts.

• Are you aware of any species listed or proposed to be listed as a Federal threatened or endangered species, or designated critical habitat in the project area? If so, would they be affected by any activities associated with the proposed project?

• Are there wetlands or other surface waters inside the project boundaries that potentially fall under Clean Water Act (CWA) jurisdiction as “Waters of the United States?” If so, please describe and estimate any impacts the proposed project may have.

• When was the water delivery system constructed?

• Will the proposed project result in any modification of or effects to, individual features of an irrigation system (e.g., headgates, canals, or flumes)? If so, state when those features were constructed and describe and timing of any extensive alterations or modifications to those features completed previously.

• Are any buildings, structures, or features in the irrigation district listed or eligible for listing on the National Register of Historic Places? A cultural resources specialist at your local Reclamation office or the State Historic Preservation Office can assist in answering this question.

• Are there any known archeological sites in the proposed project area?

• Will the proposed project have a disproportionately high and adverse effect on low income or minority populations?

• Will the proposed project limit access to and ceremonial use of Indian sacred sites or result in other impacts on tribal lands?

• Will the proposed project contribute to the introduction, continued existence, or spread of noxious weeds or non-native invasive species known to occur in the area?

Note, if mitigation is required to lessen environmental impacts, the applicant may, at Reclamation’s discretion, be required to report on progress and completion of these commitments. Reclamation will coordinate with the applicant to establish reporting requirements and intervals accordingly.

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.

If you have any questions regarding NEPA, ESA, and/or NHPA requirements, please contact your local Title XVI Coordinator. See contacts at http://www.usbr.gov/watersmart/title/contacts.html.

http://www.usbr.gov/watersmart

D.2.2.7. Required Permits or Approvals

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

D.2.2.8. Letters of Support

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

D.2.2.9. Project Budget

The project budget includes:

(1) Funding plan and letters of commitment

(2) Budget proposal

(3) Budget narrative

Funding Plan and Letters of Commitment

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

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

Project funding provided by a source other than the applicant shall be supported with letters of commitment from these additional sources. This is a mandatory requirement. (Institutions of higher education are exempted) Letters of commitment shall identify the following elements:

• The amount of funding commitment

• The date the funds will be available to the applicant

• Any time constraints on the availability of funds

• Any other contingencies associated with the funding commitment

Commitment letters from third party funding sources should be submitted with your project application. If commitment letters are not available at the time of the application submission, please provide a timeline for submission of all commitment letters. Cost share funding from sources outside the applicant’s organization (e.g., loans or State grants), should be secured and available to the applicant prior to award.

Reclamation will not make funds available for an award under this FOA until the recipient has secured non-Federal cost share. Reclamation will execute a financial assistance agreement once non-Federal funding has been secured or Reclamation

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

FUNDING SOURCES AMOUNT

Non-Federal Entities

1.

2.

3.

Non-Federal Subtotal

Other Federal Entities

1.

Section D. Application and Submission Information determines that there is sufficient evidence and likelihood that non-Federal funds will be available to the applicant subsequent to executing the agreement.

The funding plan must include all project costs, as follows:

• How you will make your contribution to the cost share requirement, such as monetary and/or in-kind contributions and source funds contributed by the applicant (e.g., reserve account, tax revenue, and/or assessments)

• Describe any project expenses that have been incurred or may be incurred before the anticipated award date that you may seek to include as project costs. For each cost, identify:

o The project expenditure and the amount o Whether the expenditure is or will be in the form of in-kind services or donations o The date of cost incurrence o How the expenditure benefits the project

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

• Describe any funding requested or received from other Federal partners.

Note: other sources of Federal funding may not be counted towards the cost share unless otherwise allowed by statute

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

Please include the following chart (Table 1) to summarize all funding sources.

Denote in-kind contributions with an asterisk (*).

FUNDING SOURCES AMOUNT

2.

3.

Other Federal Subtotal

REQUESTED RECLAMATION FUNDING $

Budget Proposal The budget proposal should include detailed information on the categories listed below and must clearly identify all project costs. Unit costs should be provided for all budget items including the cost of work to be provided by contractors. The budget proposal should also include any in-kind contributions of goods and services provided to complete the project. The budget should include costs for the mandatory final presentation at Reclamation’s office in Lakewood, Colorado towards the end of the project. The budget should not include any construction costs of permanent research facilities. It is strongly advised that applicants use the budget proposal format shown below in Table 2 or a similar format that provides this information. If selected for award, successful applicants must submit detailed supporting documentation for all budgeted costs.

Table 2.—Sample Budget Proposal Format

BUDGET ITEM DESCRIPTION COMPUTATION Quantity Type

TOTAL

COST $/Unit Quantity

Salaries and Wages Employee 1 $ Employee 2 $ Employee 3 $ Fringe Benefits Full-Time Employees $ Part-Time Employees $ Travel Lakewood, Colorado for presentation $

Trip 2 $ Trip 3 $ Equipment Item A $ Item B $ Item C $

Supplies and Materials Item A $

BUDGET ITEM DESCRIPTION COMPUTATION Quantity Type

TOTAL

COST $/Unit Quantity

Item B $

Contractual/Construction

Contractor A $ Contractor B $ Other Reporting $

TOTAL DIRECT COSTS $

Indirect Costs Type of rate percentage $base $

TOTAL ESTIMATED PROJECT COSTS $

Budget Narrative Submission of a budget narrative is mandatory. An award will not be made to any applicant who fails to fully disclose this information. The budget narrative provides a discussion of, or explanation for, items included in the budget proposal. Include the value of 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 in the following subsections. Costs, including the valuation of in-kind contributions and donations, must comply with the applicable cost principles contained in 2 CFR Part §200, available at the Electronic Code of Federal Regulations at www.ecfr.gov.

Salaries and Wages

Indicate program manager and other key personnel by name and title. Other personnel may be indicated by title alone. For all positions, indicate salaries and wages, estimated hours or percent of time, and rate of compensation. The labor rates should identify the direct labor rate separate from the fringe rate or fringe cost for each category. All labor estimates, including any proposed subcontractors, should be allocated to specific tasks as outlined in the recipient’s technical proposal. Labor rates and proposed hours should be displayed for each task.

Include estimated hours for compliance with reporting requirements, including the project presentation and preparation of the final project report. Please see Section F. Reporting – Requirements and Distribution for information on types and frequency of reports required.

Clearly identify any proposed salary increases and the effective date.

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

Fringe Benefits

Indicate rates/amounts, what costs are included in this category, and the basis of the rate computations. Indicate whether these rates are used for application purposes only or whether they are fixed or provisional rates for billing purposes.

Federally approved rate agreements are acceptable for compliance with this item.

Travel

A minimum of one conference attendance for up to two people can be included in the budget. Any additional conferences would have to be covered by the applicant. For the project presentation, up to two people can be included in the budget to travel to Lakewood, Colorado to present your final findings.

If your proposed project requires additional travel, identify the purpose of each trip, the destination, number of persons traveling, length of stay, and all travel costs including airfare (basis for rate used), per diem, lodging, and miscellaneous travel expenses.

Equipment

Itemize costs of all equipment having a value of over $5,000 and include information as to the need for this equipment, as well as how the equipment was priced if being purchased for the agreement. If equipment is being rented, specify the number of hours and the hourly rate. Local rental rates are only accepted for equipment actually being rented or leased for the project. If equipment currently owned by the applicant is proposed for use under the proposed project, and the cost to use that equipment is being included in the budget as in-kind cost share, provide the rates and hours for each piece of equipment owned and budgeted.

These should be ownership rates developed by the recipient for each piece of equipment. If these rates are not available, the U.S. Army Corp of Engineer’s recommended equipment rates for the region are acceptable. Blue book, Federal Emergency Management Agency, and other data bases cannot be used.

Materials and Supplies

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

Contractual

Identify all work that will be accomplished by subrecipients, consultants, or contractors, including a breakdown of all tasks to be completed, and a detailed budget estimate of time, rates, supplies, and materials that will be required for each task. If a subrecipient, consultant, or contractor is proposed and approved at the time of award, no other approvals will be required. Any changes or additions will require a request for approval. Identify how the budgeted costs for subrecipients, consultants, or contractors were determined to be fair and reasonable.

Environmental and Regulatory Compliance Costs

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

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

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

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

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

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

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

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

Other Expenses

Any other expenses not included in the above categories should be listed in this category, along with a description of the item and why it is necessary. No profit or fee will be allowed.

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 project budget. Show the proposed rate, cost base, and proposed amount for allowable indirect costs based on the applicable cost principles for the recipient’s organization. It is not acceptable to simply incorporate indirect rates within other direct cost line items.

If the applicant has separate rates for recovery of labor overhead and general and administrative costs, each rate should 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. This can include a recent recommendation by a qualified certified public accountant (CPA) along with support for the rate calculation. Please note that the applicant will need to obtain a federally negotiated indirect cost rate agreement within nine months of award.

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

If the applicant does not have a federally approved indirect cost rate agreement and is proposing a rate greater than the de minimis 10 percent rate, include the computational basis for the indirect expense pool and corresponding allocation base for each rate. Information on “Preparing and Submitting Indirect Cost Proposals” is available from Interior, the National Business Center, and Indirect Cost Services, at www.doi.gov/ibc/services/finance/indirect-cost- services.

Total Costs

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

http://www.ecfr.gov/ http://www.doi.gov/ibc/services/finance/indirect-cost-services http://www.doi.gov/ibc/services/finance/indirect-cost-services

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

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

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

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

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

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

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

D.4. Submission Date and Time Application submission date deadline:

Thursday, January 12, 2017 at 4:00 pm 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.

Please note that any application submitted for funding under this FOA may be subjected to a Freedom of Information Act request (5 USC Section 552, as amended by P.L. No. 110-175), and as a result, may be made publicly available.

Following awards of funding, Reclamation may post successful applications on the Reclamation website, http://www.usbr.gov/research/dwpr after conducting any redactions determined necessary by Reclamation, in consultation with the recipient.

D.4.1. Application Delivery Instructions

Applications may be submitted electronically through Grants.gov (www.grants.gov) or hard copies may be submitted to either one of the following addresses. Under no circumstances will applications received through any other method (such as email or fax) be considered eligible for award.

By mail: Bureau of Reclamation Financial Assistance Operations Attn: Ms. Janeen Koza Mail Code: 84-27852 P.O. Box 25007 Denver, CO 80225

By express delivery: Bureau of Reclamation mail services Attn: Ms.