FY18 DWPR FOA Final_508.pdf

Funding Opportunity Announcement No. BOR-DO-18-F002

Desalination and Water Purification Research Program for Fiscal Year 2018

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

February 2018

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: Lake Cachuma, California in 2016.

Synopsis

Synopsis Federal Agency Name: Department of the Interior, Bureau of Reclamation, Research and Development Office Funding Opportunity Title: Desalination and Water Purification Research Program for fiscal year (FY) 2018 Announcement Type: Funding Opportunity Announcement (FOA) Funding Opportunity Number:

BOR-DO-18-F002

Catalog of Federal Domestic Assistance (CFDA) Number:

15.506

Dates:

(See FOA Sec. D.4)

Application due date: Tuesday, May 1, 2018, 4:00 p.m. Mountain Daylight Time (MDT)

Eligible Applicants: Individuals, institutions of higher education, profit organizations, (See FOA Sec. C.1) State and local governmental entities, non-profit organizations, Federally-funded Research and Development Centers, United States-Mexico binational research foundations and interuniversity research programs, and Indian tribal governments and organizations.

Foreign entities are not eligible for funding under the authorizing legislation for this program, except for the United States-Mexico binational entities as mentioned above.

Federal agencies are not eligible to apply.

Recipient Cost Share: For institutions of higher education and for United States-Mexico (See FOA Sec. C.2) binational research foundations and inter-university research programs, non-Federal cost share is not required but highly encouraged.

All other applicants must provide at least 75 percent non-Federal cost share. This may be reduced if it is determined that the project is not feasible without increased Federal contributions.

Under no circumstances will the Federal share of projects funded under this FOA exceed 50 percent of the total project costs.

Federal Funding Amount: The President’s FY 2018 budget request includes $1.753 million (See FOA Sec. B.1) for research under the DWPR program. Reclamation anticipates awarding up to $1,200,000 for projects funded under this FOA.

Funding Group I: Laboratory Scale projects. Up to $150,000 per applicant

Funding Group II: Pilot Scale projects. Up to $200,000 per applicant per year, for a total of up to $400,000 over two years

Estimated Number of Agreements to be Awarded:

(See FOA Sec. B.1)

Funding Group I: Laboratory Scale projects. It is expected that more awards will be made for projects in this funding group than Funding Group II.

Funding Group II: Pilot Scale projects. It is expected that only a small number of awards will be made for projects in this funding Group.

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

Title page See Sec. D.2.2.2 Page 13 *

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

Technical proposal:

Executive summary

Background

Technical approach/project activities

Research work plan and schedule

Quality Assurance and Quality Control Program

Facilities and equipment information

Environmental impacts

Evaluation criteria

See Sec. D.2.2.4

See Sec. E.1

Pages 29 -32

Project Budget:

Funding plan & letters of commitment

Budget proposal

Budget narrative

See Sec D.2.2.5

Personnel Qualifications See Sec. D.2.2.6 Page 22 *

Required Permits and Approvals See Sec. D.2.2.7 Page 22 *

Letters of support See Sec. D.2.2.8 Page 22 *

Unique Entity Identifier and System for Award Management

See Sec. D.3 Page 23 ***

* Submit materials with your application.

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

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

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 CIEMAT Centro de Investigaciones Energeticas, Medioambientales y

Tecnologicas CWA Clean Water Act Desalination Act Water Desalination Act of 1996 (Public Law [P.L.] 104-298) DOI United States Department of the Interior DUNS Data Universal Number System DWPR Desalination and Water Purification Research Program ESA Endangered Species Act FAPIIS Federal Award Performance Integrity Information System FOA Funding Opportunity Announcement FOIA Freedom of Information FY fiscal year MDT Mountain Daylight Time NEPA National Environmental Policy Act NHPA National Historic Preservation Act P.L. Public Law QA/QC quality assurance and quality control Reclamation Bureau of Reclamation SAM System for Award Management WIIN Act Water Infrastructure Improvements for the Nation Act of 2016

(P.L. 114-322; Section 3801 USC United States Code v

Contents

Contents Page

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

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

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

Section D. Application and Submission Information D.1. Address to R equest 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 E.5. Department of the Interior’s Priorities

Section F: Federal Award Administration Information F.1. Federal Award Notices F.2. Administrative and National Policy Requirements F.3. Reporting Requirements and Distribution

Section G. Agency Contacts G.1. Financial Assistance Contact G.2. Program Administrator Contact vii

Section A: Funding Opportunity Description

Section A. Funding Opportunity Description A.1. Program Information The United States 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 technologically efficient ways to desalinate or treat water. By providing financial assistance to such research and technology innovation, the DWPR program supports the Department of the Interior’s priorities:

• Creating a conservation stewardship legacy second only to Teddy Roosevelt

• Utilizing our natural resources

• Restoring trust with local communities

• Striking a regulatory balance

• Modernizing our infrastructure

DWPR funding plays a critical role in iterating an idea from the lab to a real-world demonstration, which yields products that serve the water treatment community and attract commercialization interest. 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.

DWPR’s goal is to increase water supplies by reducing the cost, energy consumption, and environmental impacts of treating impaired and otherwise unusable waters. This DWPR funding opportunity invites proposals to address any of the listed objectives from the following sources. Objectives from the Water Desalination Act of 1996 as amended by the Water Infrastructure Improvements for the Nation Act of 2016 are prioritized in this funding opportunity.

(1) Water Desalination Act of 1996 as amended by the Water Infrastructure Improvements for the Nation Act of 2016:

• Reduce energy consumption and lower the cost of desalination

• Reduce the environmental impacts of seawater desalination and develop technology and strategies to minimize those impacts

• Improve existing reverse osmosis and membrane technology

• Carry out basic and applied research on next generation desalination technologies, including improved energy recovery systems and renewable energy-powered desalination systems that could significantly reduce desalination costs

• Develop and promote innovative desalination technologies, including concentrate management and chloride control

• Study methods for the recovery of byproducts resulting from desalination to offset the costs of treatment and to reduce environmental impacts from those byproducts

• Develop metrics to analyze the costs and benefits of desalination relative to other sources of water (including costs and benefits related to associated infrastructure, energy use, environmental impacts, and diversification of water supplies)

(2) Desalination: A National Perspective. Washington, D.C.: National Research Council of the National Academies, 2008:

• 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

(3) Water Reuse. Washington, D.C.: National Research Council of the National Academies, 2012:

• 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

Objectives addressed by your proposal should be identified in your problem statement to support proposal evaluation under Evaluation Criterion A.3. in Section E. Technical Proposal: Evaluation Criteria 1. of this FOA. For further information on the DWPR Program see www.usbr.gov/research/dwpr.

A.2. Funding Opportunity Announcement Objective This Funding Opportunity Announcement’s (FOA) objective is to invite private industry, universities, water utilities, and other research sponsors to submit proposals to cost share laboratory scale and pilot scale projects that address DWPR program goals and objectives.

http://www.usbr.gov/research/dwpr

Section A: Funding Opportunity Description

Funding Group I: Laboratory scale projects are typically bench scale studies involving small flow rates (less than 2 gallons per minute). They are used to determine the viability of a novel process, new materials, or process modifications. Research at this stage often involves a high degree of risk and uncertainty.

Funding Group II: Pilot scale projects test a novel process at a sufficiently large scale to determine the technical, practical, and economic viability of the process and are generally preceded by laboratory studies (funded previously by DWPR or others) that demonstrate that the technology works.

A.3. Statutory Authority Water Desalination Act of 1996 (Public Law [P.L.] 104-298) (Desalination Act), as amended by the Water Infrastructure Improvements for the Nation Act of 2016 (P.L. 114- 322; Section 3801) (WIIN Act), Reclamation Act of June 17, 1902 (Sections 1 and 2), and the Omnibus Public Land Management Act of 2009 (P.L. 111-11, Section 9509, Research Agreement Authority).

A.4. Other Related Funding Opportunities WaterSMART: Water Reclamation Research under the Title XVI Water Reclamation and Reuse Program Water Reclamation Research under the Title XVI Water Reclamation and Reuse Program supports projects to apply commercially available water reclamation and reuse technologies.

Section B: Award Information

Section B. Award Information B.1. Total Program Funding The President’s fiscal year (FY) 2018 budget request includes $1.753 million for research under the DWPR program. Reclamation anticipates awarding up to $1,200,000 for projects funded under this FOA. However, as required by Section 3 of the Desalination Act, total funding awarded to institutions of higher education, including United-States-Mexico binational research foundations and inter-university research programs established by the two countries is limited to $1,000,000. Applications submitted under this FOA also may be considered if additional funding becomes available in FY 2018 or thereafter.

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

Funding Group I: Laboratory Scale projects Up to $150,000 in Federal funds per proposal will be available under this funding group.

Funding Group II: Pilot Scale projects Up to $400,000 in Federal funds per proposal will be available under this funding group.

This is divided as follows: up to $200,000 for the first year and up to $200,000 for an optional second year for finalizing testing, justified modifications, and evaluation. Second year funding is not guaranteed and depends on congressional funding and adequate work completed in the first year.

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

• Evaluation of successes as each task is undertaken

• Suggested changes to tasks to accomplish project goals

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

At the recipient’s request, 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 administrator 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

• Federally-funded research and development centers

• Tribal governments and organizations

• United States-Mexico binational research foundations and inter-university research programs

• Non-profit organizations

Those not eligible include the following entities:

• Federal governmental entities

• Foreign entities other than United States-Mexico binational research foundations and inter-university research programs

Applicants are encouraged to leverage the experience of international partners with considerable expertise in desalination, for example, the State of Israel, the Middle East Desalination Research Center, European Desalination Society, Centro de Investigaciones Energeticas, Medioambientales y Tecnologicas (CIEMAT) in Spain, and academic and public global institutions.

C.2. Cost Sharing Requirements For institutions of higher education and for United States-Mexico binational research foundations and interuniversity research programs, non-Federal cost share is not required, but encouraged. For all other entity types, applicants must be capable of cost sharing 75 percent or more of the total research study costs.

In exceptional circumstances and upon request of the applicant, Reclamation may reduce the cost share requirement. Applicants seeking a reduced cost share must include a justification stating why the project would not be feasible without the increased contribution, and information regarding the financial capabilities of the applicant and project partners with their application. This documentation must demonstrate that the project is not feasible without such increased Federal contribution. Under no circumstances will the Federal share of projects funded under this FOA exceed 50 percent 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 www.ecfr.gov.

C.2.2. In-Kind Contributions and Donations

In-kind contributions and donations constitute the value of noncash contributions that benefit a federally assisted project. These contributions may be in the form of real property, equipment, supplies, and other expendable property, as well as the value of goods and services directly benefiting and specifically identifiable to the project or program. The cost or value of in-kind contributions and donations that have been or will be relied on to satisfy a cost sharing or matching requirement for another Federal financial assistance agreement, a Federal procurement contract, or any other award of Federal funds may not be relied on to satisfy the cost-share requirement for an award under this FOA; except where the Federal statute authorizing a program specifically provides that Federal funds made available for such program can be applied to matching or cost sharing requirements of other Federal programs, such as awards to tribal organizations under P.L. 93-638, as amended. Applicants should refer to 2 CFR §200.434 for regulations regarding the valuation of in-kind donations and contributions, available at www.ecfr.gov.

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

Proposals that address the DWPR program goals and objectives are eligible for funding under this FOA.

Funding Group I: Laboratory Scale projects Eligible laboratory scale projects are typically bench scale studies involving small flow rates less than two gallons per minute. Laboratory projects are used to determine the viability of a process, improved and/or new materials and process modifications. Research at this stage often involves a high degree of risk and uncertainty.

Funding Group II: Pilot Scale projects Pilot scale projects eligible for funding under this FOA should involve flow rates above one gallon per minute and should be tested using natural water sources rather than synthetic or laboratory-made feed water. These projects are typically used to determine the technical, practical, and/or economic ability of a process. Preliminary costs are also developed for capital and operation and maintenance costs.

http://www.ecfr.gov/

Section C: Eligibility Information

C.3.2. Ineligible Projects

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

• Proposals for research on projects that are part of a congressionally authorized Title XVI project under Title XVI Water Reclamation and Reuse. A list of congressionally authorized Title XVI projects is at https://www.usbr.gov/ watersmart/title/authorized.html.

• Proposals for research on projects that are part of an approved Title XVI Feasibility Study under Title XVI Water Reclamation and Reuse: Desalination and Water Recycling Feasibility Studies. A list of approved Title XVI feasibility studies is at https://www.usbr.gov/watersmart/title/feasibility.html.

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

• Proposals for the construction of permanent research facilities.

C.3.3.Length of Projects

In general, proposed laboratory scale projects should be completed within 18 months of award and pilot scale projects should be completed within 24 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.

https://www.usbr.gov/watersmart/title/authorized.html https://www.usbr.gov/watersmart/title/authorized.html https://www.usbr.gov/watersmart/title/feasibility.html

Section D. Application and Submission Information

Section D. Application and Submission Information

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

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

By mail: Bureau of Reclamation Financial Assistance Support Section Attn: Ms. Janeen Koza P.O. Box 25007, MS 84-27814 Denver, CO 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. Please carefully evaluate the program goals and objectives in Section A.1. Program Information. However, the value to this program of any other tasks proposed must be substantiated in your proposal.

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) mailto:mjkoza@usbr.gov o SF-424 Application for Federal Assistance o SF-424A, Budget Information Non-construction Programs o SF-424B Assurances Non-construction Programs o SF-LLL Disclosure of Lobbying Activities (if applicable)

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

• Title page

• Table of contents

• Technical proposal and evaluation criteria (limited to 20 pages) o Executive summary o Background/introduction o Technical approach and project activities o Research work plan and schedule o Quality assurance/quality control (QA/QC) o Facilities and equipment information o Environmental impacts o Evaluation criteria

• Project budget o Funding plan o Letters of commitment (will not count toward the page limitation) o Budget proposal o Budget narrative

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

• Required permits or approvals (will not count toward the page limitation)

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

• Request for increase in Federal cost share justification, if applicable (will not count toward the page limitation)

D.2.2.1. Mandatory Federal Forms

The application must include the following standard Federal forms.

SF-424 Application for Federal Assistance

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

SF-424 Budget Information

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

SF-424 Assurances A SF-424B Assurances, Non-Construction Programs signed by a person legally authorized to commit the applicant to performance of the project shall be included. Failure to submit a properly signed SF-424B may result in the elimination of the application from further consideration.

SF-LLL Disclosure of Lobbying Activities A fully completed and signed SF-LLL, Disclosure of Lobbying Activities is required is required if the applicant has made or agreed to make payment to any lobbying entity for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with a covered Federal action.

D.2.2.2. Title Page

Provide a brief, informative, and descriptive title for the proposed work that indicates the nature of the project. Include the name and address of the applicant, and the name 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 from other Federal government agencies.

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

(1) Executive summary

(2) Background/introduction

(3) Technical approach and project activities

(4) Research work plan and schedule

(5) QA/QC program

(6) Facilities and equipment information

(7) Environmental impacts

(8) 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

• 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? Please summarize the DWPR priorities identified in Section A.1. Program Information that you are addressing or a justification for addressing other problems in this section.

• 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 you or anyone else conducted similar projects? If so, how successful have these projects been?

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

Technical Approach and Project Activities

This section should describe the technical approach and proposed research activities to be conducted under the project and include 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.

Describe in detail the activities to be conducted, including the development of the technical report. For each activity, describe what studies and tests you plan to conduct, what kind of apparatus you will need, what data you plan to collect, and what you will do with the data. Describe the kind of staff, the number of staff hours, and the schedule for completing each activity.

Research Work Plan and Schedule

Provide a research work plan based on the technical approach and project activities. The research work plan should include a schedule showing individual tasks with significant milestones identified for the work to be accomplished. The work plan should also identify work-hour requirements for each task or phase, including time for the preparation, submission, and approval of required data and reports. Clearly and concisely convey this schedule using a table, Gantt chart, project network diagram, or any other visual format. Include time for review and finalization of the technical report. The Final Report Template is at https://www.usbr.gov/research/dwpr/DWPR_Reports.html. The information will be used to help evaluate your understanding of the work requirement.

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

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

If a QA/QC program already exists in your institution, provide a summary of the program 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.

https://www.usbr.gov/research/dwpr/DWPR_Reports.html

Evaluation Criteria

(See Section E.1. Technical Proposal: Evaluation Criteria for additional details, including a detailed description of each criterion and subcriterion and points associated with each.) The evaluation criteria portion of your application should thoroughly address each criterion and subcriterion in the order presented to assist in the complete and accurate evaluation of your proposal.

D.2.2.5. 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, except for institutions of higher education. 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 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:

• Describe 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 (*).

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

FUNDING SOURCES AMOUNT

Non-Federal Entities 1.

2.

Non-Federal Subtotal

Other Federal Entities 1.

2.

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 the mandatory trip to provide a 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.

Note: The budget proposal must include all project costs. Costs not included in the budget proposal are not eligible to be applied as non-Federal cost share.

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 $ Item B $ Contractual/Construction Contractor A $ Contractor B $ Other Other $

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 or donations of goods and services and sources of funds provided to complete the project. The types of information to describe in the narrative include, but are not limited to, those listed in the following subsections. Costs, including the valuation of in-kind contributions and donations, must comply with the applicable cost principles contained in 2 CFR Part §200, available at the Electronic Code of Federal Regulations (www.ecfr.gov).

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 should be allocated to specific tasks as outlined in the recipient’s technical proposal. Labor rates and proposed hours should be displayed for each task.

The budget proposal and narrative should include estimated hours for compliance with reporting requirements, including all interim technical and administrative reports, project presentation, and final project technical and administrative reports. Please see Section F.3. Reporting Requirements and Distribution for information on types and frequency of reports required.

Generally, salaries of administrative and/or clerical personnel will be included as a portion of the stated indirect costs. If these salaries can be adequately documented as direct costs, 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 maximum 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. In general, this trip should only include lodging for one night.

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

Equipment

If equipment will be purchased, itemize all equipment valued at or greater than $5,000. For each item, identify why it is needed for the completion of the Project and how the equipment was priced (i.e. quotes, past experience, engineering estimates, or other methodology). Note: if the value is less than $5,000, the item should be included under materials and supplies.

If equipment is being rented, specify the rental duration and rate. Local rental rates are only accepted for equipment actually being rented or leased.

Materials and Supplies

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

Contractual

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

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 National Environmental Policy Act (NEPA), Endangered Species Act (ESA), National Historic Preservation Act (NHPA), Clean Water Act (CWA), and other regulations depending on the project. Such costs may include, but are not limited to:

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

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

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

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

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

D.2.2.6. Personnel Qualifications

Provide the following information on personnel:

• Identification of the 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 two pages maximum (to include education, experience, accomplishments, and other pertinent information) for all key personnel named.

Note this will not count against the page limit.

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.

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

D.2.2.9. Justification for Reduction in Non-Federal Cost Share Contribution

If applicable, please include adequate information as to why this project is not feasible without a reduction to the non-Federal cost share contribution.

Information regarding the financial capabilities of the applicant and project partners should be included as well as any additional information that will support the claims being made by the applicant. Clearly state the reduced non-Federal cost share being requested. Under no circumstance will the non-Federal cost share be less than 50 percent of the total project costs.

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 valid unique entity identifier or complete SAM registration by the application deadline, the valid unique entity identifier must be obtained and the SAM registration must be initiated within 30 days after the application deadline to be considered for selection and award.

Reclamation will not make a Federal award to an applicant until the applicant has complied with all applicable unique entity identifier and SAM requirements. If an applicant has not fully complied with the requirements by the time 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:

Tuesday May 1, 2018 at 4:00 pm Mountain Daylight Time (MDT)

Proposals received after the application deadline will not be considered unless it can be determined that the delay was caused by Reclamation mishandling.

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

D.4.1. Application Delivery Instructions

Applications may be submitted electronically through Grants.gov (www.grants.gov) or hard copies may be submitted to either one of the following addresses.