FY21 FOA Pitch to Pilot FINAL FOR PDF posting.v4.pdf

U.S. Department of the Interior April 2021

Desalination and Water Purification Research Program Pitch to Pilot

Notice of Funding Opportunity No. R21AS00424

Mission Statements The Department of the Interior (DOI) conserves and manages the Nation’s natural resources and cultural heritage for the benefit and enjoyment of the American people, provides scientific and other information about natural resources and natural hazards to address societal challenges and create opportunities for the American people, and honors the Nation’s trust responsibilities or special commitments to American Indians, Alaska Natives, and affiliated island communities to help them prosper.

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: Reclamation’s Expeditionary Unit Water Purifier in 2011 (Reclamation).

Synopsis i

Synopsis

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

Funding Opportunity Title: Desalination and Water Purification Research Program Pitch to Pilot

Announcement Type: Notice of Funding Opportunity (NOFO) Funding Opportunity Number:

R21AS00424

Catalog of Federal Domestic Assistance Number:

15.560

Dates:

(See NOFO Sec. D.4)

Application due date:

Phase I Technical Proposal: Thursday, June 3, 2021, at 4:00 p.m. Mountain Daylight Time

Phase II: Presentation Pitch at Reclamation’s Brackish Groundwater National Desalination Research Facility (BGNDRF)1 for selected applicants: September 22 to 23, 2021

Eligible Applicants:

(See NOFO Sec. C.1)

Individuals/entrepreneurs, 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 NOFO Sec. C.2)

No cost share is required but highly encouraged

Federal Funding Amount:

(See NOFO Sec. B.1)

Up to $200,000 per applicant for a project that can be completed within 18 months.

Estimated Number of Agreements to be Awarded:

(See NOFO Sec. B.1) up to 10

1Submission to Phase I is required for Phase II consideration. If the applicant is not present for Phase II, the proposal is automatically disqualified from proceeding further and will be ineligible for an award. Reclamation will be able to provide funding for invitation travel for one representative to attend the in-person meeting in Alamogordo, New Mexico up to a maximum of $3,000 total for lodging and travel expenses. Phase II might be conducted virtually if needed subject to travel restrictions and developments associated with the COVID-19 pandemic.

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Application Checklist iii

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 Disclosure of Lobbying Activities

See Sec. D.2.2.1 SF-424, SF-424A, SF-424B, and SF-LLL forms may be obtained at www.grants.gov/web/grants/forms/sf- 424-family.html

Title page See Sec. D.2.2.2 Page 11 *

Table of contents See Sec. D.2.2.3 Page 11 *

Technical proposal: *

Executive summary See Sec. D.2.2.4 Page 11 * Technical proposal and responses to evaluation criteria

See Sec. D.2.2.4 Page 12 *

Summary slides See Sec. D.2.2.5 Page 13 * Phase I Evaluation criteria See Sec. E.1 Page 19 *

Unique Entity Identifier and System for Award Management

See Sec. D.3 Page 13 **

* Submit materials with your application.

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

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

Acronyms and Abbreviations v

Acronyms and Abbreviations

ASAP Automated Standard Application for Payments ARC Application Review Committee BGNDRF Brackish Groundwater National Desalination Research Facility CE Categorical Exclusion CEC Categorical Exclusion Checklist CFR Code of Federal Regulations CWA Clean Water Act Department U.S. Department of the Interior DUNS Data Universal Number System DWPR Desalination and Water Purification Research Program EA Environmental Assessment EIS Environmental Impact Statement ESA Endangered Species Act FAPIIS Federal Award Performance Integrity Information System FOIA Freedom of Information Act FONSI Finding of No Significant Impact FY fiscal year NEPA National Environmental Policy Act NHPA National Historic Preservation Act NOAA National Oceanic and Atmospheric Administration NOFO Notice of Funding Opportunity P.L. Public Law Q&A Question and Answer QA/QC quality assurance/quality control Reclamation Bureau of Reclamation SAM System for Award Management SPOC Single Point of Contact TRL technology readiness level U.S.C. United States Code USFWS U.S. Fish and Wildlife Service WaterSMART Sustain and Manage America's Resources for Tomorrow WQIC Water Quality Improvement Center

Contents vii

Contents

Page Section A. Funding Opportunity Description

Program Information Objectives of this Notice of Funding Opportunity Statutory Authority Other Related Funding Opportunities

Award Information Total Project Funding Project Funding Limitations Assistance Instrument

Eligibility Information Eligible Applicants Cost Sharing Requirements Eligible Projects

Application and Submission Information Address to Request Application Package Content and Form of Application Submission Unique Entity Identifier and System for Award Management Submission Date and Time Intergovernmental Review Funding Restrictions: Pre-award Costs Automated Standard Application for Payments Registration

Section E. Application Review Information Technical Proposal: Evaluation Criteria Review and Selection Process Federal Award Performance Integrity Information System Anticipated Announcement and Federal Award Date

Federal Award Administration Information Federal Award Notices Administrative and National Policy Requirements Reporting Requirements and Distribution Conflicts of Interest Data Availability Availability of Data

Agency Contacts Reclamation Financial Assistance Contact Reclamation Program Coordinator Contact

Other Information National Environmental Policy Act National Historic Preservation Act Endangered Species Act

Section A: Funding Opportunity Description

Section A. Funding Opportunity Description

A.1. Program Information The United States Department of the Interior (Department), Bureau of Reclamation’s (Reclamation) Desalination and Water Purification Research Program (DWPR) works with Reclamation researchers and partners to develop innovative, cost-effective, and technologically efficient ways to desalinate and treat water.

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

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 the DWPR program is to address the need to reduce the costs, energy requirements, and environmental impacts of treating impaired and unusable water. DWPR program activities further support multiple related initiatives related to the Water Subcabinet such as the Water Reuse Action Plan and Water Security Grand Challenge.

The program also aligns with Executive Order 14008, “Tackling the Climate Crisis at Home and Abroad,” by investing in development and application of advanced water treatment technologies that expand access to otherwise unusable water resources, thereby increasing water supply flexibility under the risks of long-term climate change and shorter-term drought.

In Phase I, applicants submit technical proposals in the required format and length as specified in Section D.2.1. Application Format and Length as well as with the required content further detailed in Section D.2.2. Application Content. Submission to Phase I is required for Phase II consideration.

Reclamation’s application review committee (ARC) will select set of highly qualified applications from Phase I to move to Phase II of the application process. Submission to Phase I is required for Phase II consideration. If the selected applicants are not present for Phase II, their proposals are automatically disqualified from proceeding further and will be ineligible for an award.

Reclamation will be able to fund invitational travel for one representative to attend the in-person meeting at the Brackish Groundwater National Desalination Research Facility (BGNDRF) in Alamogordo, New Mexico up to a maximum of $3,000 total for lodging and travel expenses.

Phase II might be conducted virtually if needed—subject to travel restrictions and developments associated with the COVID-19 pandemic.

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

A.2. Objectives of this Notice of Funding Opportunity The objectives of this Notice of Funding Opportunity (NOFO) are to develop innovative and disruptive new technologies or processes to:

• Reduce the costs, energy requirements, and/or environmental impacts of treating impaired and unusable water to standards necessary for an identified beneficial use.

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

• Improve efficiency of water treatment processes—either by improvements to pre-treatment, post-treatment, monitoring, sensors, or other innovative process/technology.

• Increase effectiveness of reverse osmosis/nanofiltration concentrate management by reducing cost, energy, and/or environmental impacts.

• Treat brackish groundwater in a less energy-intensive way than current processes and technologies.

• Address costs, energy usage, and/or environmental impacts of seawater desalination, including intakes and/or outfalls.

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

A.4. Other Related Funding Opportunities WaterSMART:1 Water Reclamation Research under the Title XVI Water Reclamation and Reuse Program supports projects to apply commercially available water reclamation and reuse technologies.

DWPR Laboratory and Pilot Projects: This funding opportunity supports projects at the laboratory and pilot scale research studies to determine the viability of a novel process, new materials, or process modifications in conjunction with eligible applicants.

1 WaterSMART (Sustain and Manage America's Resources for Tomorrow)

Section B: Award Information

Section B. Award Information

B.1. Total Project Funding The total amount of funding available for the DWPR Program in fiscal year (FY) 2021 is $8.35 million for research. Reclamation anticipates awarding up to $2,000,000 for projects funded under this NOFO. Applications submitted under this NOFO also may be considered if additional funding becomes available in FY 2021 or thereafter.

B.2. Project Funding Limitations Up to $200,000 in Federal funds may be awarded to an applicant over an 18-month project period.

The funds provided through this NOFO will be available for each agreement to design, construct, install, and test a pilot-scale process at an already known location with real water. Reclamation’s BGNDRF in Alamogordo, New Mexico, and Water Quality Improvement Center (WQIC) in Yuma, Arizona, may also be available if a location for testing is needed. The number of awards and the aggregate amount awarded will be based on the quality of the applications received and congressional funding available.

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

• Collaboration and participation with the recipient in managing the project and close oversight of the recipient’s activities to ensure that the program objectives are being achieved.

• Oversight may include review, input, and approval at key interim stages of the project.

o Coordination of contributions made by team members from the different partners.

o Evaluation of successes/failures as each task is undertaken.

o Suggested changes to tasks to accomplish project goals.

o Review, input, and comments on draft and final research outcomes, including the final project report.

At the request of the recipient, Reclamation can provide technical assistance after project award. If you anticipate requesting Reclamation technical assistance, you must account for these costs in your budget. If BGNDRF is identified as a location for testing, there is no need to include any costs for energy, water, and space at BGNDRF or WQIC, but costs for additional technical assistance if required need to be included. To discuss available assistance and these costs, contact the program coordinator identified in Section G.2. Reclamation Program Coordinator Contact.

Section C: Eligibility Information

Section C. Eligibility Information

C.1. Eligible Applicants Applicants eligible to receive an award to fund activities include:

• Individuals/entrepreneurs

• 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

• Non-profit organizations

Those not eligible include, but are not limited to:

• Federal Governmental entities

• Foreign entities

C.2. Cost Sharing Requirements Non-Federal cost share is not required but is strongly encouraged. Cost sharing may be made through direct cash contributions, third-party in-kind contributions, or combinations thereof. It is highly recommended that applicants consider identifying in their application any non-federal cost share if applicable. Cost share funding is an evaluation criterion; see Section E.1.7. Evaluation Criterion G—Non-Federal Cost Share.

C.2.1. Cost Share Funding Sources

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.

Other sources of Federal funding may not be counted towards cost share. The exception to this requirement is 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. If it is determined that the Federal funding cannot be applied towards the non-Federal cost share, the work associated with the funding may be removed from the proposed project.

C.2.2. Cost Share Regulations

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

http://www.ecfr.gov/

C.2.3. Third-Party In-Kind Contributions

Third-party in-kind contributions are defined as the value of non-cash contributions of property or services that benefit the federally assisted project and are contributed by non- Federal third parties, without charge. Third-party in-kind contributions may be in the form of equipment, supplies, and other expendable property, as well as the value of services directly benefiting and specifically identifiable to the proposed project. The cost or value of third-party in-kind contributions that have already been or will be relied on to satisfy a cost- sharing or matching requirement for another Federal program (e.g., Federal financial assistance agreement, a Federal procurement contract, or any other award of Federal funds) may not be relied on to satisfy the cost-share requirement for an award under this NOFO. Applicants should refer to 2 CFR §200.434 Contributions and Donations for regulations regarding the valuation of third-party in-kind contributions, available at www.ecfr.gov.

C.3. Eligible Projects

C.3.1. Eligible Projects

Eligible projects are pilot-scale technologies or processes that incorporate or are innovative and disruptive technologies involving flow rates above one gallon per minute and that need to 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 feasibility of a process.

Preliminary costs can be developed for capital and operation and maintenance costs. The description of the technology or process should identify the uniqueness and the disruptive nature of the technology or process itself and/or the testing of it.

C.3.2. Ineligible Projects

Ineligible projects for funding under this NOFO 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 www.usbr.gov/watersmart/title/authorized.html.

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

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

• Proposals of work currently funded under an existing Reclamation financial assistance agreement.

• Proposals for the construction of permanent research facilities.

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

Section C: Eligibility Information

C.3.3. Length of Projects

In general, proposed projects should be completed within 18 months of award. Applications for projects requiring more time will be considered for funding only under limited circumstances.

Reasons for requiring additional time should be included in the application.

Section D: Application and Submission Information

Section D. Application and Submission Information

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

If you are unable to access this information electronically, you can request paper copies of any of the documents referenced in this NOFO by emailing the Notice of Funding Opportunity Team staff at sha-dro-fafoa@usbr.gov.

D.2. Content and Form of Application Submission All applications must conform to the requirements set forth below. Two phases comprise the application process:

Phase I: A technical proposal is required to be submitted in the required format and length as specified in Section D.2.1 Application Format and Length as well as with the required content further detailed in Section D.2.2. Application Content.

Phase II: A set of highly qualified applications from Phase I will be selected by the application review committee (ARC) to move to Phase II of the application process. The criteria described in Section E.1 Technical Proposal: Phase I Evaluation Criteria will be used to make that determination.

Phase II applicants are required to prepare a Microsoft PowerPoint presentation for an in-person pitch in front of the ARC at Reclamation’s BGNDRF. Phase II might be conducted virtually if needed—subject to travel restrictions and developments associated with the COVID-19 pandemic.

Presentations will be evaluated using the criteria described in Section E.2. Presentation: Phase II Evaluation Criteria.

D.2.1. Application Format and Length

The technical proposal and responses to evaluation criteria section of the application shall be limited to a maximum of eight consecutively numbered pages. If this section of the application exceeds eight pages, only the first eight pages will be evaluated. Other required application content will not count towards the page limitation. 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. Margins should be standard 1-inch margins. Oversized pages will not be accepted.

Applications will be prescreened for compliance to the page number limitation. Excess pages will be removed and not considered in the evaluation of the proposed project.

D.2.2. Application Content

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

• Mandatory Federal Forms (not counted towards the page limit).

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 may be obtained at www.grants.gov/web/grants/forms/sf-424-family.html

• Title page (not counted towards the page limit).

• Table of contents (not counted towards the page limit).

• Technical proposal and responses to evaluation criteria (limited to eight pages).

o Executive summary o Problem Statement o Prior work and results o Technical approach and project activities o Research work plan and schedule (Gantt chart or similar) o Environmental impact o Quality assurance/quality control (QA/QC) plan o Responses to evaluation criteria

• Summary slides (no more than two, not counted towards the page limit)

To facilitate fair and timely reviews by the ARC, it is highly recommended that application packages be structured in the order identified above.

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

D.2.2.1.1.1 SF-424 Application for Federal Assistance

A fully completed SF-424, Application for Federal Assistance signed by a person legally authorized to commit the applicant to performance of the project must be submitted with the application.

Failure to submit a properly signed SF-424 may result in the elimination of the application from further consideration.

D.2.2.1.1.2 SF-424 Budget Information

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

D.2.2.1.3. SF-424 Assurances

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

D.2.2.1.4 SF-LLL Disclosure of Lobbying Activities

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

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, email 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 Responses to Evaluation Criteria The technical proposal and evaluation criteria (eight pages maximum) include:

1) Executive summary

2) Problem Statement

3) Prior work and results

4) Technical approach and project activities

5) Research work plan and schedule (Gantt chart or similar)

6) Environmental impact

7) QA/QC

8) Responses to evaluation criteria

D.2.2.4.1. Executive Summary

The executive summary should:

• Include the date, applicant name, city, county, and state.

• In one paragraph, state the problem to be solved and the proposed solution.

• In one paragraph, summarize the project. Specify 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 and objectives of this NOFO. Also include information on what success looks like for the proposed work and what a commercialization path looks like for this work.

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

• Identify the proposed project location and if the work will be conducted at a Federal facility (e.g., BGNDRF and Yuma WQIC).

D.2.2.4.2. Problem Statement

Describe the problem to be solved by the proposed project, including why current approaches or technologies are insufficient and how the proposed approach or technology improves on current shortcomings. Include information on what is already known, either due to previous research done or a literature review. Describe how the proposed work aligns with one or more of the objectives shown in Section A.2. Objectives of this Notice of Funding Opportunity.

D.2.2.4.3. Prior Work and Results

Describe previous work and/or technology development that supports the need for pilot testing with real water sources. Identify relevant experience of key project team members in the proposed field of study. Identify the current technology readiness level (TRL) of the proposed technology (using the TRL definitions in Section E.1.4. Evaluation Criterion D—Readiness Level).

D.2.2.4.4. Technical Approach and Project Activities

Describe the technical approach and proposed research and testing activities to be conducted under the project. Include enough detail on the proposed technology or approach to permit a comprehensive evaluation of the proposal. The applicant’s understanding will be established not only by the proposed approach, but also by identifying potential challenges that will be faced throughout the proposed testing, and mitigation strategies for these challenges.

Describe in detail the tasks to be conducted, including the development of the final technical report.

For each task, describe planned activities and expected outcomes and milestones. Describe the staff levels and expertise, the number of staff hours, and the schedule for completing each task. Provide the location of the proposed pilot testing, water type(s) to be tested, and system flow rate.

As applicable, provide figures such a flow diagram, mass/energy balance, and/or similar ways to describe the proposed technology or approach, including process inputs and outputs.

Identify the TRL that can be achieved if the proposed project is implemented (using the TRL definitions in Section E.1.4. Evaluation Criterion D—Readiness Level).

D.2.2.4.5. 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. Clearly and concisely convey this schedule using a table, Gantt chart, project network diagram, or any other visual format.

The pilot testing should include obtaining a minimum one full month of non-disrupted data collection. Time for final report preparation should be included in the work plan. The final report will be posted publicly.

D.2.2.4.6. Quality Assurance and Quality Control Plan

Identify the proposed procedures for QA/QC protocols to be used throughout the project, including statistical data analysis, peer review, instrument calibration, etc. If your institution already has a QA/QC program, provide a summary of the program and include additional information as needed to address the use of the existing program for your proposed project.

D.2.2.4.7. Environmental Impact

Describe any potential environmental impacts of the proposed work and plans for disposal of wastes if any result from the project. Identify any permits and licenses that are required for the project and describe how they will be obtained (if not yet obtained).

D.2.2.4.8. Responses to Evaluation Criteria

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

The responses to evaluation criteria portion of your application should clearly describe how the proposed project addresses each criterion (in the order presented) to assist in the complete and accurate evaluation of your application. It is not necessary to repeat information provided in other sections of the proposal. Rather than repeating information, provide a reference to other sections of the proposal.

It is suggested that applicants copy and paste the evaluation criteria in Section E.1. Technical Proposal: Phase I Evaluation Criteria into their applications to ensure that all necessary information is adequately addressed.

D.2.2.5. Summary Slides Please include no more than two Microsoft PowerPoint slides summarizing the proposed project.

The slides must be submitted in pdf format and will be used during the evaluation process. The summary slides don’t need to follow any template—but must have the following information:

• Project title, Project Manager, and their institution/company if applicable

• A technology summary

• Impact of the proposed work

• Proposed goal(s)

• Any key graphics (picture, illustration, charts, and/or tables)

• Requested Reclamation funds and any proposed non-Federal cost share (if applicable)

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:

• be registered in the System for Award Management (SAM) before submitting its application,

• provide a valid unique entity identifier in its application, and

• maintain an active SAM registration with current information while having an active Federal award or during the period it has 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 obtain a unique entity identifier or complete registration by the application deadline, the unique entity identifier must be obtained, and SAM registration must be initiated within 30 days after the application deadline to be considered for selection and award. You can find additional information on how to complete a SAM registration here: sam.gov/SAM/pages/public/loginFAQ.jsf.

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

Phase I: Thursday June 3, 2021 at 4:00 p.m. Mountain Daylight Time

Phase II for selected applicants: September 22 to 23, 2021 at Reclamation’s BGNDRF in Alamogordo, New Mexico

Submission to Phase I is required for Phase II consideration. If the applicant selected for Phase II is not present for Phase II, the proposal is automatically disqualified from proceeding further and will be ineligible for an award. Phase II might be conducted virtually if needed—subject to travel restrictions and developments associated with the COVID-19 pandemic.

Applications received after the application deadline will not be considered unless it can be determined that the delay was caused by Reclamation mishandling or technical issues with the Grants.gov application system. Please note that difficulties related to an applicant’s Grants.gov profile (e.g., incorrect organizational representative), uploading documents to Grants.gov, or an applicant’s SAM registration are not considered technical issues with the Grants.gov system.

Please note that any application submitted for funding under this NOFO may be subjected to a Freedom of Information Act (FOIA) request (5 United States Code [U.S.C.] 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

The application may be submitted electronically through Grants.gov (www.grants.gov) or a hard copy 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.

https://sam.gov/SAM/pages/public/loginFAQ.jsf http://www.grants.gov/

By mail or USPS Priority Mail Express:

Bureau of Reclamation Financial Assistance Operations Branch Attn: DWPR NOFO P.O. Box 25007, MS 84-27133 Denver, CO 80225

All other express delivery:

By courier services:

Bureau of Reclamation mail services Attn: DWPR NOFO MS 84-27133 Denver Federal Center Bldg. 67, Rm. 152 6th Avenue and Kipling Street Denver, CO 80225

Bureau of Reclamation Attn: DWPR NOFO MS 84-27133 Denver Federal Center Bldg. 67, Rm. 152 6th Avenue and Kipling Street Denver, CO 80225

D.4.2. Instructions for Submission of Project Application

Each applicant should apply in accordance with the instructions contained in this section.

D.4.2.1. Applications Submitted by Mail, Express Delivery or Courier Services Please follow these instructions to submit your application by mail, express delivery, or courier services.

• Applicants should submit one copy of all application documents for hardcopy submissions. Only use a binder clip for documents submitted. Do not staple or otherwise bind application documents.

• Hard copy applications may be submitted by mail, express delivery, or courier services to the addresses identified in this NOFO.

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

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

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

D.4.2.2. Applications Submitted Electronically If the applicant chooses to submit an electronic application, it must be submitted through Grants.gov (www.grants.gov). Reclamation encourages applicants to submit their applications for funding electronically through the website: www.grants.gov/applicants/apply-for-grants.html.

Applicant resource documents and a full set of instructions for registering with Grants.gov (www.grants.gov). and completing and submitting applications online are available at:

www.grants.gov/applicants/apply-for-grants.html.

• Please note that submission of an application electronically requires prior registration through Grants.gov, which may take 7 to 21 days. Please see registration instructions at www.grants.gov/applicants/apply-for- grants.html.

In addition, please note that the Grants.gov system only accepts applications submitted by individuals that are registered and active in SAM as both a user and an Authorized Organizational Representative.

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

Regardless of the delivery method used, you must ensure that your proposal arrives by the date and time deadline stated in this NOFO. Applications received after this date and time due to weather or express delivery/courier performance will not be considered for award.

Late applications will not be considered unless it is determined that the delay was caused by Reclamation mishandling or by a problem with the Grants.gov application system. Please note that difficulties related to an applicant’s organizational representative or other issues with an applicant’s Grants.gov account are not considered problems with the Grants.gov system.

D.4.2.3. Acknowledgement of Application Receipt If an application is submitted by mail, express delivery, or courier, Reclamation will notify you in writing that your application was received.

If an application is submitted through Grants.gov, you will receive an email acknowledging receipt of the application from Grants.gov. In addition, Reclamation will notify you in writing whether your application was successfully downloaded from Grants.gov.

Notification will be sent to the points of contact identified on the SF-424 Application for Federal Assistance.

http://www.grants.gov/ http://www.grants.gov/applicants/apply-for-grants.html http://www.grants.gov/ http://www.grants.gov/applicants/apply-for-grants.html http://www.grants.gov/applicants/apply-for-grants.html http://www.grants.gov/applicants/apply-for-grants.html

D.5. Intergovernmental Review This NOFO is subject to Executive Order 12372, “Intergovernmental Review of Federal Programs.” A list of States that have elected to participate in the intergovernmental review process can be found at www.whitehouse.gov/omb/management/office-federal-financial-management.

Applicants in these states must contact their state's Single Point of Contact (SPOC) to find out about and comply with the state's process under Executive Order 12372. The names and addresses of the SPOCs are listed in the Office of Management and Budget's website, www.whitehouse.gov/omb/management/office-federal-financial-management.

D.6. Funding Restrictions: Pre-award Costs Project pre-award costs that have been incurred prior to the date of award, but after notification of selection, may be submitted for consideration as an allowable reimbursable expense. In no case will pre-award costs incurred prior to a recipient’s notification of selection be considered for reimbursement or non-Federal cost-share purposes.

For example, such costs might include design or construction plans and environmental compliance costs directly supporting the proposed project. Reclamation will review the proposed pre-award costs to determine if they are allowable in accordance with the authorizing legislation and applicable cost principles. To be considered allowable, the pre-award cost must comply with all applicable requirements under this NOFO, including all applicable administrative and cost principles criteria established in 2 CFR Part 200, available at www.ecfr.gov.

D.7. Automated Standard Application for Payments Registration All applicants must also be registered with and willing to process all payments through the Department of Treasury Automated Standard Application for Payments (ASAP) system. All recipients with active financial assistance agreements with Reclamation must be enrolled in ASAP under the appropriate Agency Location Code(s) and the Data Universal Number System (DUNS) Number prior to the award of funds. If a recipient has multiple DUNS numbers, they must separately enroll within ASAP for each unique DUNS Number and/or Agency. All the information on the enrollment process for recipients, including the enrollment initiation form, can be requested by e-mail from sha-dro-asap_enr@usbr.gov.

Note that if your entity is currently enrolled in the ASAP system with an agency other than Reclamation, you must enroll specifically with Reclamation to process payments.

http://www.whitehouse.gov/omb/management/office-federal-financial-management http://www.whitehouse.gov/omb/management/office-federal-financial-management http://www.ecfr.gov/ mailto:sha-dro-asap_enr@usbr.gov

Section E: Application Review Information

Section E. Application Review Information

E.1. Technical Proposal: Phase I Evaluation Criteria Applications should thoroughly address each criterion and any sub criterion in the order presented below. Copy and paste the below criteria into applications to ensure that all criteria are addressed.

Applications will be evaluated directly against the evaluation criteria listed below. If the work described in your application is a phase of a larger project, only discuss the benefits that will result directly from the work discussed in the technical project description and that is reflected in the budget, not the larger project.

Phase I Evaluation Criteria: Scoring Summary Points

A. Impact of the proposed work 25

B. Familiarity in the field of work 15

C. Innovation and disruptiveness 15

D. Readiness level 15

E. Schedule and Quality Assurance/Quality Control 10

F. Alignment with objectives 10

G: Non-Federal cost share 10

Total 100

E.1.1. Evaluation Criterion A—Impact of the Proposed Work (25 points)

Impact of the proposed work on the field of water treatment and/or currently used technologies and on its related economics. The impact can be measured by the promise of the solution, the problem being addressed, and the likelihood for success. Examples include energy and cost reduction, impact on water supply, and/or ease of use on operation of the technology. Provide information as to what a successful outcome would be for the proposed project.

E.1.2. Evaluation Criterion B—Familiarity in the Field of Work (15 points)

Demonstrate familiarity with the current technology in the field of work. Identify relevant experience of key project team members. Clearly state the problem being solved, how the proposed approach differs from current solutions, potential challenges that will be faced throughout the proposed testing, and mitigation strategies for these challenges.

E.1.3. Evaluation Criterion C—Innovation and Disruptiveness (15 points)

Describe how the proposed work and/or technology development is innovative or disruptive in the water treatment industry. Innovative is defined herein as an approach, process, and/or technology that is not being implemented at full scale in the United States but shows promise for scaled-up implementation in the field of water treatment. Disruptive is defined herein as either displacing an established approach, process, and/or technology or creating a completely new industry.

E.1.4. Evaluation Criterion D—Readiness Level (15 points)

Describe prior research on the proposed technology or process and how this prior work supports the need for pilot testing. Information such as a process flow diagram, mass and energy balances, and data from previous testing will help support the need for pilot testing. Provide the location of the proposed pilot testing, water type(s) to be tested, and system flow rate (one gallon per minute minimum).

Using the definitions in the table below, clearly identify what technology readiness level (TRL) the proposed technology is currently at, and what technology readiness level will be achieved if the proposed project is implemented. This funding opportunity is targeting technologies that are currently at TRLs 4-6, but technologies at other TRLs will also be considered if sufficient justification is provided for the need for pilot testing.

TRL Definition 1 Basic principles observed and reported 2 Technology concept and/or application formulated 3 Analytical and experimental critical function and/or characteristic proof of concept 4 Component and/or system validation in laboratory environment 5 Laboratory scale, similar system validation in relevant environment 6 Pilot-scale system validation in relevant environment 7 Full-scale system demonstrated in relevant environment 8 Actual system completed and qualified through test and demonstration.

9 Actual system operated over the full range of expected conditions.

E.1.5. Evaluation Criterion E—Schedule and Quality Assurance/Quality Control (10 points)

Describe the schedule, task phasing, and milestones for the proposed project, with the schedule directly tied to tasks. The identified work should be realistic for completion within the period of 18 months. Describe QA/QC protocols to be used throughout the project, including statistical data analysis, peer review, instrument calibration, etc.

E.1.6. Evaluation Criterion F—Alignment with Objectives (10 points)

Describe how the proposed work aligns with one or more of the objectives shown in Section A.2. Objectives of this Notice of Funding Opportunity. Clearly identify which objective(s) are supported by the proposed project. Points will be allocated based on the degree to which the proposed work supports one or more of the stated objectives, and not the number of objectives identified. It is not necessary to address objectives that are not applicable to your proposed work.

E.1.7. Evaluation Criterion G—Non-Federal Cost Share (10 points)

Non-Federal cost share points will be awarded for voluntarily committed non-Federal cost share. A breakdown of these points by percentage of cost share for the total cost of the project is below.

Non-Federal Cost Share Percentage Points

0% 0

1% to 4% 1

5% to 10% 2

11% to 20% 4

21% to 35% 6

36% to 49% 8

50% plus 10

E.2. Presentation: Phase II Evaluation Criteria Phase II provides the opportunity to provide more in-depth information where your presentations will be evaluated directly against the evaluation criteria listed below. Descriptions of each criterion are provided above in Section E.1. Technical Proposal: Phase I Evaluation Criteria.

Phase II Evaluation Criteria: Scoring Summary Points

A. Impact of the proposed work 35

B. Familiarity in the field of work 20

C. Innovation and disruptiveness 20

D. Readiness level 15

E. Schedule and Quality Assurance/Quality Control 10

Total 100

E.3. Review and Selection Process The Federal government reserves the right to reject any application that does not meet the requirements of this NOFO. Awards will be made for projects most advantageous to the Federal Government. Award selection may be made to maintain balance among the eligible projects listed in this NOFO. The evaluation process will be comprised of the steps described in the following subsections.

E.3.1. Initial Screening

All application packages will be screened to ensure that:

• The applicant meets the eligibility requirements stated in this NOFO.

• The applicant meets the unique entity identifier and SAM registration requirements stated in this NOFO (this may be completed up to 30 days after the application deadline).

• The application conforms to page limitations.

• The application meets the content requirements of the NOFO package, including submission of a technical proposal, including responses to the evaluation criteria, a funding plan, budget proposal, and budget narrative.

• The application contains a properly executed SF-424, Application for Financial Assistance and form SF-424B, Assurances Non-Construction Programs, and a completed SF-424A, Budget Information Non- Construction Programs.

Reclamation reserves the right to remove an application from funding consideration if it does not pass all initial screening criteria listed above. An applicant that has submitted an application that is determined to be ineligible for funding will be notified along with other applicants, or sooner, if possible.

E.3.2. Application Review Committee

Evaluation criteria for Phase I applications will comprise the total evaluation weight as stated in the Section E.1 Technical Proposal: Phase I Evaluation Criteria. Applications will be scored against the evaluation criteria by an ARC, made up of experts in relevant disciplines selected from across Reclamation and other Federal agencies. The ARC will also review the application to ensure that the proposed project meets the description of eligible projects and the requirements of this NOFO.

The ARC will make recommendations for a select group of applications to proceed to Phase II. The ARC will provide comments and feedback to the selected group of applications that will be moving forward to Phase II. These applicants will have an opportunity to review the comments and prepare for an in-person meeting with the ARC to discuss their proposal. The applicants will be invited to attend this in-person review at the BGNDRF in Alamogordo, New Mexico. Each applicant will be provided a tour of the BGNDRF facility prior to their meeting with the judging panel.

Each applicant will have 30 minutes to present their proposal and address the comments to the ARC. After the presentation there will be a 20 minute Question and Answer (Q&A) session where the ARC will have the ability to as questions, the information gathered from the Q&A session will be used for the evaluation of the proposal. The ARC will then score all presentations against the evaluation criteria in Section E.2. Presentation: Phase II Evaluation Criteria and make a final recommendation.

Submission to Phase I is required for Phase II consideration. If the applicant is not present for Phase II, the proposal is automatically disqualified from proceeding further and will be ineligible for an award. Reclamation will be able to fund invitational travel for one representative to attend the in-person meeting in Alamogordo, New Mexico up to a maximum of $3,000 total for lodging and travel expenses. Phase II might be conducted virtually if needed subject to travel restrictions and developments associated with the COVID-19 pandemic.

During the Phase I ARC review, Reclamation may contact applicants to request clarifications to the information provided, if necessary.

E.3.3. Red-Flag Review

After Phase II is completed and following the results of the ARC review, Reclamation will review the top-ranked applications and identify any reasons why a proposed project would not be feasible or otherwise advisable, including environmental…