FY23 DWPR Research NOFO Final 09.09.22.pdf

U.S. Department of the Interior September 2022

Notice of Funding Opportunity No. R23AS00390

Desalination and Water Purification Research Program: Research Projects

Mission Statements

The U.S. Department of the Interior protects and manages the Nation’s natural resources and cultural heritage; provides scientific and other information about those resources; honors its trust responsibilities or special commitments to American Indians, Alaska Natives, and affiliated Island Communities.

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 – Yuma Desalting Plant in Yuma, Arizona (Bureau of Reclamation).

Synopsis

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

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

Announcement Type: Notice of Funding Opportunity (NOFO)

Funding Opportunity Number: R23AS00390

Catalog of Federal Domestic Assistance (CFDA) Number:

15.506

Dates:

(See NOFO section D.4)

Application due date:

November 30, 2022, at 4:00 p.m. Mountain Standard Time

Eligible Applicants:

(See NOFO section C.1)

Applicants eligible to receive financial assistance to fund activities under this NOFO include: individuals, institutions of higher education, profit organizations, State and local governmental entities, non-profit organizations, federally funded research and development centers, and Indian Tribal Governments and organizations.

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

Federal agencies are not eligible to apply.

Recipient Cost Share:

(See NOFO section C.2)

For institutions of higher education, non-Federal cost share is not required but highly encouraged.

All other applicants must provide at least a 50-percent non-Federal cost share.

Federal Funding Amount:

(See NOFO section B.1)

Approximately $2,000,000 is available for this NOFO. The final amount of Federal funding available for award under this NOFO will be determined once final fiscal year 2023 appropriations have been made.

Funding Group I – Laboratory-Scale Projects. Up to $250,000 per award for a project that can be completed within 2 years.

Funding Group II – Pilot-Scale Projects. Up to $800,000 per award for a project that can be completed within 3 years.

Estimated Number of Agreements to be Awarded:

(See NOFO section B.1)

The Bureau of Reclamation anticipates awarding approximately 4 to 10 projects contingent upon available Federal appropriations.

It is expected that more awards will be made for Funding Group I – Laboratory- Scale Projects than for Funding Group II – Pilot-Scale Projects.

Intergovernmental Review:

(See NOFO section D.5)

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 https://www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-20.pdf.

https://www.whitehouse.gov/wp-content/uploads/2020/04/SPOC-4-13-20.pdf

Application Checklist

The following table contains a summary of the information to submit with your application.

What to submit Required content Page

Mandatory Federal forms:

• SF-424: Application for Federal Assistance (Office of Management and Budget [OMB])

• SF-424A: Budget Information - Non-Construction Programs (OMB)

• SF-424B: Assurances - Non-Construction Programs

(OMB)

• OMB Form 4040-0013: Certification Regarding Lobbying

• SF-LLL: Disclosure of Lobbying Activities (if applicable) (OMB)

• OMB Form 4040-0019: Project Abstract Summary

See section D.2.2.1 13

Technical proposal and evaluation criteria (required) See section D.2.2.2 14

Summary slides (recommended) See section D.2.2.3 16

Personnel qualifications (required) See section D.2.2.4 16

Project budget (required) See section D.2.2.5 17

Letters of support (recommended) See section D.2.2.6 20

Conflict of interest disclosure statement (recommended)

See section D.2.2.7 20

Uniform audit reporting statement (recommended) See section D.2.2.8 21

Unique Entity Identifier (UEI) and System for Award Management (SAM) registration

See section D.3 21

Acronyms and Abbreviations

ARC Application Review Committee ASAP Automated Standard Application for Payments

CE Categorical Exclusion CEC Categorical Exclusion Checklist CFDA Catalog of Federal Domestic Assistance CFR Code of Federal Regulations CWA Clean Water Act

DOI United States Department of the Interior DWPR Desalination and Water Purification Research

EA Environmental Assessment EIN Employer Identification Number EIS Environmental Impact Statement ESA Endangered Species Act

FAIN Federal Award Identification Number FAPIIS Federal Award Performance Integrity Information System FOIA Freedom of Information Act FONSI Finding of No Significant Impact

GIS Geographic Information System

IBC Interior Business Center

NAICS North American Industry Classification System NEPA National Environmental Policy Act NHPA National Historic Preservation Act NOAA National Oceanic and Atmospheric Administration NOFO Notice of Funding Opportunity

OMB Office of Management and Budget

P.L. Public Law PDF portable document format PSC Product Service Code

QA/QC quality assurance/quality control

Reclamation Bureau of Reclamation

SAM System for Award Management SF Standard Form

TRL technology readiness level

UEI Unique Entity Identifier U.S.C. United States Code USFWS US. Fish and Wildlife Service

Symbols

% percent

§ section(s) i

Contents

Page

Section A: Funding Opportunity Description A.1 Authority A.2 Background and Program Requirements A.3 Notice of Funding Opportunity Purpose and Objectives A.4 Other Related Funding Opportunities

Section B: Award Information B.1 Total Funding B.2 Expected Award Amount B.3 Expected Award Funding and Anticipated Dates B.4 Number of Awards B.5 Type of Award B.6 Technical Assistance

Section C: Eligibility Information C.1 Eligible Applicants C.2 Ineligible Applicants C.3 Cost-Sharing Requirements

C.3.1 Cost-Share Funding Sources C.3.2 Cost-Share Regulations C.3.3 Third-Party Contributions

C.4 Other C.5 Eligible Projects C.6 Ineligible Projects

Section D: Application and Submission Information D.1 Address to Request Application Package D.2 Content and Form of Application Submission

D.2.1 Application Format and Length D.2.2 Application Content

D.3 Unique Entity Identifier (UEI) and System for Award Management (SAM) D.3.1 Register with the System for Award Management D.3.2 Obtain a Unique Entity Identifier

D.4 Submission Date and Time D.4.1 Application Delivery Instructions D.4.2 Instructions for Submitting the Project Application

D.5 Intergovernmental Review D.6 Funding Restrictions: Pre-Award Costs

D.6.1 Environmental and Regulatory Compliance Costs D.6.2 Indirect Costs ii

Section E: Application Review Information

E.1 Technical Proposal and Evaluation Criteria E.1.1 Evaluation Criterion A: Impact of the Proposed Work E.1.2 Evaluation Criterion B: Familiarity in the Field of Work E.1.3 Evaluation Criterion C: Readiness Level E.1.4 Evaluation Criterion D: Novelty of Work Approach E.1.5 Evaluation Criterion E. Relationship to DWPR Objectives E.1.6 Evaluation Criterion F: Team Qualifications E.1.7 Evaluation Criterion G: Schedule Adequacy and Completeness E.1.8 Evaluation Criterion H: Non-Federal Cost Share

E.2 Review and Selection Process E.2.1 First Level Screening E.2.2 Application Review Committee E.2.3 Red-Flag Review E.2.4 Managerial Review E.2.5 Pre-Award Clearances and Approvals E.2.6 Project Budget

E.3 Federal Award Performance Integrity Information System

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

F.2.1 Automated Standard Application for Payments Registration F.2.2 Environmental and Cultural Resources Compliance F.2.3 Approvals and Permits F.2.4 Geospatial Data and Data Tools F.2.5 Intangible Property (2 CFR §200.315) F.2.6 Real Property (2 CFR §200.311) F.2.7 Buy America Domestic Procurement Preference F.2.8 Additional Bipartisan Infrastructure Law Requirements: Wage Rate

Requirements F.3 Reporting Requirements and Distribution

F.3.1 Financial Reports F.3.2 Interim Performance Reports F.3.3 Interim Technical Project Reports F.3.4 Project Presentation F.3.5 Final Technical Project Report F.3.6 Final Performance Report F.3.7 Real Property Reports (if Applicable)

F.4 Disclosures F.4.1 Conflict of Interest Disclosures F.4.2 Other Mandatory Disclosures iii

F.5 Data Availability (2 CFR §1402.315) F.5.1 Data Publication F.5.2 Freedom of Information Act

Section G: Federal Awarding Agency Contact(s) G.1 Reclamation Financial Assistance Contact G.2 Reclamation Program Coordinator Contact

Section H: Other Information H.1 Environmental and Cultural Resource Considerations

H.1.1 National Environmental Policy Act H.1.2 National Historic Preservation Act

H.2 Endangered Species Act

Tables

Table Page

1 Summary of Non-Federal and Federal funding sources 2 Total project cost table

Section A: Funding Opportunity Description

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

A.2 Background and Program Requirements The United States Department of the Interior (DOI), Bureau of Reclamation’s (Reclamation) Desalination and Water Purification Research (DWPR) Program, works with Reclamation researchers and partners to develop innovative, cost-effective, and technologically efficient ways to desalinate or treat water. The DWPR Program 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. Investing in such technologies leads to development of climate-resilient, cost-effective, and low-impact solutions that bolster the ability of Reclamation, its customers, and stakeholders to cope with the stresses of climate change.

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 the DWPR Program, research sponsors partner with Reclamation to address a broad range of desalting and water purification needs. Reclamation is interested in research that has widespread benefits but private-sector entities are not able to make the full investment and assume all 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 activities further support multiple initiatives related to the Water Subcabinet such as the National Water Reuse Action Plan and the U.S. Department of Energy’s Water Security Grand Challenge. For further information on the DWPR Program, see https://www.usbr.gov/ research/dwpr.

A.3 Notice of Funding Opportunity Purpose and Objectives The objective of this NOFO is to invite private industries, universities, water utilities, and other research sponsors to submit applications that address the DWPR goals and objectives through laboratory- or pilot-scale studies. The goal of the DWPR Program is to increase water supplies https://www.usbr.gov/%20research/dwpr https://www.usbr.gov/%20research/dwpr by reducing the cost, energy consumption, and environmental impacts of treating impaired and otherwise unusable waters. This DWPR funding opportunity invites applicants to address any of the following objectives:

• 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 membrane technologies, including reverse osmosis

• 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)

• Assess environmental impacts from desalination intake, concentrate management approaches, and reclaimed water

• Develop improved intake/outfall methods at coastal facilities to minimize marine environment impacts such as impingement of larger organisms, entrainment of smaller ones, and impacts to benthic communities

• 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

• 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

Section A: Funding Opportunity Description

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

• Improve the detection, characterization, monitoring, separation, or destruction of per- and polyfluoroalkyl substances and other contaminants of concern

A.4 Other Related Funding Opportunities Reclamation provides funding for other related projects through several other programs under WaterSMART and the Desalination and Water Purification Programs:

• Water reclamation research under the Title XVI Water Reclamation and Reuse Program supports projects to apply commercially available water reclamation and reuse technologies (see https://www.usbr.gov/watersmart/title/index.html).

• DWPR Pitch to Pilot Program: This program is a unique approach that invites new desalination and water treatment technologies being developed by small companies and entrepreneurs (see https://www.usbr.gov/research/dwpr/P2P_Reports.html).

https://www.usbr.gov/watersmart/ https://www.usbr.gov/research/dwpr/ https://www.usbr.gov/watersmart/title/index.html https://www.usbr.gov/research/dwpr/P2P_Reports.html

Section B: Award Information

B.1 Total Funding Approximately $2,000,000 is available for this NOFO, with per-project limits as described in Section B.2. “Expected Award Amount.” Reclamation will determine the final amount of Federal funding available for award under this NOFO once final fiscal year 2023 appropriations have been made. This NOFO may be canceled if appropriations are insufficient to support new awards. Applications submitted under this NOFO may also be considered if other Federal funding becomes available in or after fiscal year 2023.

B.2 Expected Award Amount Maximum award for Funding Group I: $250,000

Maximum award for Funding Group II: $800,000

Minimum award: No minimum award amount

Federal funding is limited to the funding amounts identified below for each funding group. The number of selected awards and the total awarded funding will be based on the quality of the applications received and available congressional funding.

• 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. Up to $250,000 in Federal funds per award will be available under this funding group for projects that can be completed within 2 years.

• Funding Group II – Pilot-Scale Projects test a novel process at a sufficiently large scale to determine the practicality of implementing the technology at a larger scale. Pilot-scale studies are used to generate data that can be used to estimate the operational requirements (e.g., labor, chemical addition, power requirements) of the process and show performance with respect to finished water quality goals. Pilot-scale projects are generally preceded by laboratory studies (funded previously by the DWPR Program or others) that demonstrate that the technology works. Up to $800,000 in Federal funds per award will be available under this funding group for projects that can be completed within 3 years.

B.3 Expected Award Funding and Anticipated Dates Anticipated award date: 09/30/2023

Reclamation expects to contact potential award recipients and unsuccessful applicants in April 2023 (or later if necessary), subject to the timing of final fiscal year 2023 appropriations.

Anticipated project completion date for Funding Group I: 09/30/2025

Anticipated project completion date for Funding Group II: 09/30/2026

B.4 Number of Awards Approximately 4 to 10 awards, depending on the amount requested by each applicant and the amount of Federal funding available, will be awarded under this NOFO.

B.5 Type of Award Project awards will be made through cooperative agreements. Under cooperative agreements, the successful applicant should expect Reclamation to have substantial involvement in the project, which may include:

• Collaboration and participation with the successful applicant in the management of the project and close oversight of the successful applicant’s activities to ensure the program objectives are being achieved.

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

B.6 Technical Assistance At your 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 coordinator identified in Section G.2 “Reclamation Program Coordinator Contact.”

Section C: Eligibility Information

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

• Individuals

• Institutions of higher education

• Commercial or industrial organizations

• Private entities

• State and local governmental entities

• Federally funded research and development center

• Tribal Governments and organizations

• Non-profit organizations

C.2 Ineligible Applicants Applicants ineligible to receive an award to fund activities include:

• Federal Governmental entities

• Foreign entities

C.3 Cost-Sharing Requirements A non-Federal cost share is required for all applicants that are not designated as an institution of higher education and must be capable of providing a 50-percent non-Federal cost-share of the total research study costs. Although a cost share is not required, it is encouraged that higher education institutions provide a cost share for the project, and cost shares are evaluated in the evaluation criteria (see Section E.1.8. “Evaluation Criterion H – Non-Federal Cost Share.”

C.3.1 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 toward the cost share. There is an exception to this requirement if the Federal statute authorizing a program specifically provides the Federal funds made available for such a 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 toward the non-Federal cost share, the work associated with the funding may be removed from the proposed project.

C.3.2 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.3.3 Third-Party Contributions

Third-party contributions may be in the form of equipment, supplies, and/or 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 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 NOFO. Applicants should refer to 2 CFR §200.434 for regulations regarding the valuation of third-party in-kind contributions.

C.4 Other Reclamation conducts a review of the SAM.gov Exclusions database for all applicant entities and their key project personnel prior to award, as ineligibility conditions apply under this Federal program. If entities or key project personnel are identified in the database as ineligible, prohibited/restricted, or otherwise excluded from receiving Federal contracts, certain subcontracts, and certain Federal assistance and benefits, Reclamation cannot award them funds.

C.5 Eligible Projects Applicants can apply for funding for two types of projects that address DWPR goals and objectives:

• Funding Group I – Laboratory-Scale Projects. Laboratory-scale projects eligible for funding under this NOFO are typically bench-scale studies involving small flow rates less than 2 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.

http://www.ecfr.gov/ https://sam.gov/content/exclusions

Section C: Eligibility Information

• Funding Group II – Pilot-Scale Projects. Pilot-scale projects eligible for funding under this NOFO should involve flow rates above 1 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.

In general, laboratory-scale projects should be completed within 24 months of award, and pilot-scale projects should be completed within 36 months of award, including the required project presentation and reports. Applications for projects requiring more time will be considered for funding only under limited circumstances.

C.6 Ineligible Projects Projects not eligible 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 can be found 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 can be found at www.usbr.gov/watersmart/title/feasibility.html.

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

• Proposals for the construction of permanent research facilities.

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

Section D: Application and Submission Information

D.1 Address to Request Application Package This document contains all the information, forms, and electronic addresses required to submit 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 Financial Assistance Operations Section staff at sha-dro-fafoa@usbr.gov.

D.2 Content and Form of Application Submission All applications must conform to the requirements described in this section.

D.2.1 Application Format and Length

The total technical proposal and evaluation criteria section (defined below) will be limited to a maximum of 20 consecutively numbered pages. If this section exceeds 20 pages, only the first 20 pages will be evaluated. The font shall be at least 12 points in size and easily readable. The page size shall be 8½ by 11 inches, including charts, maps, and drawings. The margins shall be standard 1-inch margins. Oversized pages will not be accepted.

Applications will be prescreened for compliance to the above page number limitation. Excess pages will be removed and will 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 Note: Applications submitted by consultants must contain an SF-424 and SF-424B that is manually signed by an authorized representative of the entity applying.

• Mandatory Federal Forms, which must include:

o SF-424: Application for Federal Assistance o SF-424A: Budget Information - Non-Construction Programs o SF-424B: Assurances for Non-Construction Activities o Office of Management and Budget (OMB) Form 4040-0013: Certification Regarding Lobbying mailto:SHA-DRO-FAFOA@usbr.gov o SF-LLL: Disclosure of Lobbying Activities (if applicable) o OMB Form 4040-0019: Project Abstract Summary

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

• Technical proposal and evaluation criteria (required, limited to 20 pages), which should include:

o Title page (not counted toward page limit) o Table of contents (not counted toward page limit) o Executive summary o Problem statement o Prior work, experience, and results o Technical approach and project activities o Research work plan and schedule (Gantt chart or similar) o Facilities and equipment information o Quality assurance/quality control (QA/QC) plan o Environmental and cultural resources impacts and compliance o Overlap or duplication of effort statement o Responses to evaluation criteria

• Summary slides (recommended, not required)

• Personnel qualifications (required)

• Project budget (required):

o Funding plan o Budget proposal o Budget narrative o Letters of funding commitment (if applicable)

• Letters of support (recommended)

• Conflict of interest disclosure statement (recommended)

• Uniform audit reporting statement (recommended)

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

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

Section D: Application and Submission Information

Applications will be screened for completeness and compliance with the provisions of this notice. Incomplete or noncompliant applications, or applications not meeting the formatting criteria or not including required materials will be eliminated from competition.

D.2.2.1 Mandatory Federal Forms The application must include the following standard Federal forms. Questions regarding forms should be referred to the Financial Assistance Point of Contact under Section G.1 “Reclamation Financial Assistance Contact.”

D.2.2.1.1 SF-424: Application for Federal Assistance A fully completed SF-424: Application for Federal Assistance form signed by a person legally authorized to commit the applicant to performance of the project must be submitted with the application. Applications that fail to submit a SF-424 will be considered ineligible and will not pass initial screening.

D.2.2.1.2 SF-424A: Budget Information - Non-Construction Programs A fully completed and signed SF-424A: Budget Information form must be submitted with the application. Applications that fail to submit a SF-424A will be considered ineligible and will not pass initial screening.

D.2.2.1.3 SF-424B: Assurances for Non-Construction Activities A fully completed and signed SF-424B: Assurances for Non-Construction Programs form signed by a person legally authorized to commit the applicant to performance of the project shall be included. Applications that fail to submit a properly signed SF-424B will be considered ineligible and will not pass initial screening.

D.2.2.1.4 OMB Form 4040-0013: Certification Regarding Lobbying Must provide a certification regarding lobbying for Contracts, Grants. Loans, and Cooperative Agreements, and disclosures pursuant to 43 CFR Part 18 and 31 USC §1352. Non-Federal entities are strictly prohibited from using funds under a grant or cooperative agreement for lobbying. Applications that fail to submit a certification regarding lobbying form will be considered ineligible and will not pass initial screening.

D.2.2.1.5 SF-LLL: Disclosure of Lobbying Activities (if Applicable) A fully completed and signed SF-LLL: Disclosure of Lobbying Activities form 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. This form cannot be submitted by a contractor or other entity on behalf of an applicant.

D.2.2.1.6 OMB Form 4040-0019: Project Abstract Summary A fully completed OMB Form 4040-0019: Project Abstract Summary must be submitted with the application. The Project Abstract Summary shall include the purpose of the project, the activities to be performed, the expected deliverables or outcomes, the intended beneficiaries, and any subrecipient activities, if known. Applications that fail to submit a Project Abstract Summary Form will be considered ineligible and will not pass initial screening.

D.2.2.2 Technical Proposal and Evaluation Criteria Submission of a technical proposal is mandatory. Applications that fail to fully disclose this information will be considered ineligible and will not pass initial screening.

The technical proposal and evaluation criteria (limited to 20 pages) should include the following sections:

D.2.2.2.1 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 as well as the name, address, email, and telephone number of the Project Manager.

D.2.2.2.2 Table of Contents List all major sections of the proposal in the table of contents.

D.2.2.2.3 Executive Summary In the executive summary:

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

• Summarize the project in one paragraph. Specify the work proposed, including how funds will be used to accomplish specific project activities, and briefly identify 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., Alamogordo Brackish Groundwater National Desalination Research Facility or Yuma Water Quality Improvement Center).

D.2.2.2.4 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.3 “Notice of Funding Opportunity Purpose and Objectives.”

D.2.2.2.5 Prior Work, Experience, and Results Describe previous work and/or technology development that supports the need for this research proposal. Identify relevant experiences 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.1.3 “Evaluation Criterion C: Readiness Level”).

D.2.2.2.6 Technical Approach and Project Activities Describe the technical approach and proposed research 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 work, 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, 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 testing, water type(s) to be tested, and the system flow rate.

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

D.2.2.2.7 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 time for all required report preparation should be included in the work plan.

D.2.2.2.8 Facilities and Equipment Information Describe the facilities where the work will be performed. List the equipment that is available for use on the project and that which will be required for carrying out the proposed work. List and justify any special equipment that will need to be purchased 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.

D.2.2.2.9 Quality Assurance/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 a QA/QC program already exists in your institution, provide a summary of the program as well as additional information, as needed, to address using the program for your proposed project.

D.2.2.2.10 Environmental and Cultural Resources Impacts and Compliance Describe any potential environmental and/or cultural resource impacts of the proposed work and plans for disposal of any wastes generated during the project. Identify any permits and licenses required for the project and describe how they will be obtained (if not yet obtained). See Section H “Other Information” for additional information.

D.2.2.2.11 Overlap or Duplication of Effort Statement Provide a statement that addresses if there is any overlap between the proposed project and any other active or anticipated proposals or projects in terms of activities, costs, or commitment of key personnel. If any overlap exists, applicants must provide a description of the overlap in their application for review.

State if the proposal submitted for consideration under this program does or does not in any way duplicate any proposal or project that has been or will be submitted for funding consideration to any other potential funding source—whether it be Federal or non-Federal. If such a circumstance exists, applicants must detail when the other duplicative proposal(s) were submitted, to whom (agency name and financial assistance program), and when funding decisions are expected to be announced. If, at any time, a proposal is awarded, and funds would be duplicative of the funding requested from Reclamation, applicants must notify the NOFO Point of Contact or the Program Coordinator immediately.

D.2.2.2.12 Responses to Evaluation Criteria Section E.1. “Technical Proposal and Evaluation Criteria” provides a detailed description of each criterion, subcriterion, and points associated with each.

The responses to evaluation criteria portion of your application should thoroughly describe how your proposal addresses each criterion and subcriterion in the order presented to assist in the complete and accurate evaluation of your proposal. Copying and pasting the evaluation criteria and subcriteria in Section E.1. “Technical Proposal and Evaluation Criteria” into your applications is suggested to ensure that all necessary information is adequately addressed.

D.2.2.3 Summary Slides Submission of summary slides within the application is recommended but not required. Include no more than two slides summarizing the proposed project. The summary slides do not need to follow any template, but they should 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.2.2.4 Personnel Qualifications A description of personnel qualifications must be included, and it should include the following elements:

• Identification of the Project Manager responsible for ensuring completion of 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 project

• 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

D.2.2.5 Project Budget A project budget must be included, and it must include the following elements:

• Funding plan

• Letters of commitment (if applicable)

• Budget proposal

• Budget narrative

Incurrence of pre-award costs is not authorized without prior written approval of the awarding Grants Officer. Per 2 CFR §200.458, pre-award costs are those incurred prior to the effective date of the Federal award or subaward directly pursuant to the negotiation and in anticipation of the Federal award where such costs are necessary for efficient and timely performance of the scope of work. If the proposed project is selected, the awarding Reclamation Grants Officer will review the proposed pre-award costs to determine if these costs are consistent with program objectives and are allowable in accordance with the authorizing legislation. Proposed pre-award costs must also be compliant with all applicable administrative and cost principles criteria established in 2 CFR Part 200, available at www.ecfr.gov, and all other requirements of this NOFO. In no case will pre-award costs be incurred prior to a recipient’s notification of selection be considered for reimbursement or non-Federal cost-share purposes.

Note that the costs for preparing and submitting an application in response to this NOFO, including developing data necessary to support the proposal, are not eligible project costs under this NOFO, and they must not be included in the project budget. In addition, budget proposals must not include costs for the purchase of water or land, or to secure an easement other than a construction easement. These costs are not eligible project costs under this NOFO.

D.2.2.5.1 Funding Plan and Letters of Funding Commitment Submission of a funding plan is mandatory. Applications that fails to fully disclose this information will be considered ineligible and will not pass initial screening. Describe how the non-Federal cost share of project will be obtained. Reclamation will use this information when making a determination of financial capability. Project funding provided by a source other than the applicant should be supported with letters of commitment from these additional sources and should 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, provide a timeline for submitting 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 NOFO until the recipient has secured a non-Federal cost-share. Reclamation will execute a financial assistance agreement once non-Federal funding has been secured or Reclamation determines that there is enough evidence and likelihood that non-Federal funds will be available to the applicant after executing the agreement.

D.2.2.5.2 Budget Proposal Submission of a budget proposal is mandatory. Applications that fails to fully disclose this information will be considered ineligible and will not pass initial screening. The total project cost is the sum of all allowable items of costs, including all required cost sharing and voluntary committed cost sharing, including third-party contributions, that are necessary to complete the project. Include the following chart (table 1) to summarize all funding sources and 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.

3.

Non-Federal subtotal

REQUESTED Reclamation funding

The budget proposal should include detailed information on the categories listed below, and it must clearly identify all items of cost, including those that will be contributed as a non- Federal cost share by the applicant (required and voluntary), third-party in-kind contributions, and those that will be covered using the funding requested from Reclamation, and any requested pre-award costs (table 2).

Table 2.—Total project cost table

Source Amount

Costs to be reimbursed with the requested Federal funding $

Costs to be paid by the applicant $

Value of third-party contributions $

TOTAL project cost $

D.2.2.5.3 Budget Narrative Submission of a budget narrative is mandatory. Applications that fails to fully disclose this information will be considered ineligible and will not pass initial screening. The budget narrative provides a discussion of, or explanation for, items included in Section B of the SF-424A. The information in the narrative should include, but is not limited to, that identified in the Budget Narrative Guidance attached to this NOFO. Applicants may elect to use the Budget Detail and Narrative spreadsheet for their budget narrative. Costs, including the valuation of third-party in-kind contributions, must comply with the applicable cost principles contained in 2 CFR Part 200, available at www.ecfr.gov.

In addition, identify whether the budget proposal includes any project costs that may be incurred prior to award. For each cost, describe:

• The project expenditure and amount

• The date of cost incurrence

• How the expenditure benefits the project

Pre-Award Costs If the proposed project is selected, the awarding Reclamation Grants Officer will review the proposed pre-award costs to determine if they are consistent with program objectives and are allowable in accordance with the authorizing legislation. Proposed pre-award costs must also be compliant with all applicable administrative and cost principles criteria established in 2 CFR Part 200 and all other requirements of this NOFO. 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.

Note that the costs for preparing and submitting an application in response to this NOFO, including the development of data necessary to support the proposal, are not eligible project costs under this NOFO, and they must not be included in the project budget.

In addition, ensure that the budget proposal includes any project costs that may be incurred prior to award. For each cost, describe:

• The project expenditure and amount

• The date of cost incurrence

• How the expenditure benefits the project

D.2.2.6 Letters of Support Include letters from interested stakeholders that support the proposed project.

D.2.2.7 Conflict of Interest Disclosure Statement Per 2 CFR §1402.112, “Financial Assistance Interior Regulation” applicants must state in the application if any actual or potential conflict of interest exists at the time of submission.

Submission of a conflict of interest disclosure or certification statement is mandatory prior to issue of an award.

D.2.2.7.1 Applicability This section is intended to ensure that non-Federal entities and their employees take appropriate steps to avoid conflicts of interest in their responsibilities under, or with respect to, Federal financial assistance agreements.

In the procurement of supplies, equipment, construction, and services provided by recipients and subrecipients, the conflict of interest provisions in 2 CFR§200.318 apply.

D.2.2.7.2 Notification Non-Federal entities, including applicants for financial assistance awards, must disclose in writing any conflict of interest to the DOI awarding agency or pass-through entity in accordance with 2 CFR §200.112.

Recipients must establish internal controls that include, at a minimum, procedures to identify, disclose, and mitigate or eliminate identified conflicts of interest. The successful applicant is responsible for notifying the Financial Assistance Officer in writing of any conflicts of interest that may arise during the life of the award, including those that have been reported by subrecipients.

D.2.2.7.3 Review Procedures The Financial Assistance Officer will examine each conflict of interest disclosure on the basis of its particular facts and the nature of the proposed grant or cooperative agreement and will determine whether a significant potential conflict exists and, if it does, develop an appropriate means for resolving it. Failure to resolve conflicts of interest in a manner that satisfies the

Government may be cause for termination of the award. Failure to make required disclosures may result in any of the remedies described in 2 CFR §200.339, including suspension or debarment (see also 2 CFR Part 180).

D.2.2.8 Uniform Audit Reporting Statement Submission of the uniform audit reporting statement within the application is recommended but not required. Notwithstanding this, all U.S. States, local governments, federally recognized Indian Tribal Governments, and non-profit organizations expending $750,000 in U.S. dollars or more in Federal award funds in your organization’s fiscal year must submit a Single Audit report for that year through the Federal Audit Clearinghouse’s Internet Data Entry System in accordance with 2 CFR Part 200 Subpart F. U.S. State, local government, federally recognized Indian Tribal Governments, and non-profit applicants must state if your organization was or was not required to submit a Single Audit report for the most recently closed fiscal year. If your organization was required to submit a Single Audit report for the most recently closed fiscal year, provide the Employer Identification Number (EIN) associated with that report and state if it is available through the Federal Audit Clearinghouse website.

D.3 Unique Entity Identifier (UEI) and System for Award Management (SAM)

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

• Be registered in SAM before submitting an application. Instructions for registering are available at https://sam.gov/content/home

• Provide a valid UEI in its application

• Maintain an active SAM registration with current information at all times during which it has an active Federal award or plan under consideration by a Federal award agency

Meeting the requirements set forth above is mandatory. Reclamation will not make a Federal award to any applicant until the applicant has complied with all applicable UEI and SAM requirements.

You can register and request help for free – there is no cost to register with SAM.gov;

beware of third-party vendors who charge a fee for registering entities with SAM.gov.

D.3.1 Register with the System for Award Management

Register on the SAM.gov website. The “Help” tab on the website contains User Guides and other information to assist you with registration. The Grants.gov Register with SAM page also provides detailed instructions. You can also contact the supporting Federal Service Desk for help when registering.