PKG00255601-instructions.pdf

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

September 2019

Funding Opportunity Announcement No. BOR-DO-20-F004

Desalination and Water Purification Research Program: Research Projects for Fiscal Years 2020 and 2021

Mission Statements The Department of the Interior 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: Yuma Desalting Plant in Yuma, Arizona.

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 (DWPR): Research Projects for fiscal years (FY) 2020 and 2021 Announcement Type: Funding Opportunity Announcement (FOA) Funding Opportunity Number:

BOR-DO-20-F004

Catalog of Federal Domestic Assistance (CFDA) Number:

15.506

Dates:

(See FOA Sec. D.4)

This FOA covers two application submittal periods:

Application due date for FY 2020 funding: Wednesday, December 4, 2019 at 4:00 p.m.

Mountain Standard Time (MST)

This FOA will be updated to provide a second application deadline in FY 2021 for applications to be considered for FY 2021 funding, contingent on appropriations. Any amendment to evaluation criteria, priorities, or eligibility would be finalized at least 60 days prior to the second application deadline.

Eligible Applicants:

(See FOA Sec. C.1)

Individuals, institutions of higher education, profit organizations, State and local governmental entities, non-profit organizations, federally-funded Research and Development Centers, United States-Mexico binational research foundations and inter-university research programs, and Indian tribal governments and organizations.

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

Federal agencies are not eligible to apply.

Recipient Cost Share:

(See FOA Sec. C.2)

For institutions of higher education and for United States-Mexico binational research foundations and inter-university research programs, non-Federal cost share is not required but highly encouraged.

All other applicants must provide at least 75 percent non-Federal cost share. This may be reduced if it is determined that the project is not feasible without increased Federal contributions. Under no circumstances will the Federal share of projects funded under this FOA exceed 50 percent of the total project costs.

Federal Funding Amount:

(See FOA Sec. B.1)

The President’s FY 2020 budget request includes $1.475 million for research under the DWPR program.

Funding Group I: Laboratory Scale projects. Up to $250,000 per agreement for a project that can be completed within two years.

Funding Group II: Pilot scale projects. Up to $800,000 per agreement for a project that can be completed within three years.

Estimated Number of Agreements to be Awarded:

(See FOA Sec. B.1)

Reclamation anticipates awarding approximately 3 to 6 projects per application submittal period dependent upon available Federal appropriations.

It is expected that more awards will be made for Funding Group I: Laboratory Scale project than Funding Group II: Pilot scale projects and that only a small number of awards will be made for Funding Group II: Pilot scale projects.

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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

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

Title page See Sec. D.2.2.2 Page 12 *

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

Technical proposal: See Sec. D.2.2.4 Page 13 *

Executive summary

Background

Technical approach/Project Activities

Research work plan and schedule

Environmental impacts

Evaluation criteria See Sec. E.1 Page 31

Project Budget: See Sec D.2.2.5 *

Funding plan & letters of commitment Page 16

Budget proposal Page 18

Budget narrative Page 20

Personnel Qualifications See Sec. D.2.2.6 Page 24 *

Required Permits and Approvals See Sec. D.2.2.7 Page 24 *

Letters of support See Sec. D.2.2.8 Page 24 *

Unique Entity Identifier and System for Award Management

See Sec. D.3 Page 25 **

* Submit materials with your application.

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

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

Acronyms and Abbreviations v

Acronyms and Abbreviations

ARC Application Review Committee ASAP Automated Standard Application for Payments CFDA Catalog of Federal Domestic Assistance CFR Code of Federal Regulations CWA Clean Water Act Department United States Department of the Interior Desalination Act Water Desalination Act of 1996 DUNS Data Universal Number System DWPR Desalination and Water Purification Research Program ESA Endangered Species Act FAPIIS Federal Award Performance Integrity Information System FOA Funding Opportunity Announcement FOIA Freedom of Information FY fiscal year MST Mountain Standard Time NEPA National Environmental Policy Act NHPA National Historic Preservation Act QA/QC quality assurance and quality control P.L. Public Law Reclamation Bureau of Reclamation SAM System for Award Management SPOC Single Point of Contact USC United States Code WIIN Act Water Infrastructure Improvements for the Nation Act of 2016 WaterSMART Sustain and Manage America's Resources for Tomorrow

Contents vii

Contents

Page Section A. Funding Opportunity Description

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

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

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

Section D. Application and Submission Information D.1. Address to Request Application Package D.2. Content and Form of Application Submission D.3. Unique Entity Identifier and System for Award Management D.4. Submission Date and Time D.5. Intergovernmental Review D.6. Automated Standard Application for Payments Registration

Section E. Application Review Information E.1. Technical Proposal: Evaluation Criteria E.2. Review and Selection Process E.3. Federal Award Performance Integrity Information System E.4. Anticipated Announcement and Federal Award Date E.5. Department of the Interior’s Priorities

Section F: Federal Award Administration Information F.1. Federal Award Notices F.2. Administrative and National Policy Requirements F.3. Reporting Requirements and Distribution F.4. Conflicts of Interest F.5. Data Availability

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

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 more innovative, cost-effective, and technologically efficient ways to desalinate or treat water. By providing financial assistance to such research and technology innovation, the DWPR program supports the Department’s priorities:

• Creating a conservation stewardship legacy second only to Teddy Roosevelt

• Utilizing our natural resources

• Restoring trust with local communities

• Striking a regulatory balance

• Modernizing our infrastructure

Priorities addressed by your project should be identified in the problem statement of your application to support the evaluation under evaluation criteria A.2. in Section E.1.1. Technical Proposal: Evaluation Criteria of this Funding Opportunity Announcement (FOA).

DWPR funding plays a critical role in iterating an idea from the lab to a real-world demonstration, which yields products that serve the water treatment community and attract commercialization interest. Through DWPR, research sponsors partner with Reclamation to address a broad range of desalting and water purification needs. Reclamation is interested in research where the benefits are widespread and where private-sector entities are not able to make the full investment and assume all the risks. Reclamation is also interested in research that has a national significance—where the issues are of large-scale concern and the benefits accrue to a large sector of the public.

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

(1) Water Desalination Act of 1996 as amended by the WIIN Act:

• 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).

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

• Assess environmental impacts of desalination intake and concentrate management approaches.

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

• Improve pretreatment for membrane desalination.

• Improve membrane system performance.

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

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

Section A: Funding Opportunity Description

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

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

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

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

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

Objectives your project addresses should be identified in the problem statement of your application to support the evaluation under evaluation criteria A.4. in Section E.1.1 Technical Proposal: Evaluation Criteria of this FOA.

Through this FOA, Reclamation provides funding for projects that improve use of technology to increase water reliability consistent with section 4 of the October 19, 2018, Presidential Memorandum on Promoting the Reliable Supply and Delivery of Water in the West.

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

A.2. Funding Opportunity Announcement Objective This FOA’s objective is to invite private industry, universities, water utilities, and other research sponsors to submit applications that address DWPR program goals and objectives at the laboratory or pilot scale studies.

A.3. Statutory Authority This FOA is authorized by the Desalination Act (Public Law [P.L.] 104-298), as amended by the WIIN Act (P.L. 114-322; Section 3801).

A.4. Other Related Funding Opportunities WaterSMART (Sustain and Manage America's Resources for Tomorrow) Title XVI Water Reclamation and Reuse Program. Water reclamation research under the Title XVI Water Reclamation and Reuse Program supports projects to apply commercially available water reclamation and reuse technologies in the 17 Western States.

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

Section B: Award Information

Section B. Award Information B.1. Total Program Funding The President’s fiscal year (FY) 2020 budget request includes $1.475 million for research under the DWPR program. For FY 2021, Reclamation will determine the final amount of funding available for award under this FOA once final FY 2021 appropriations have been made. As required by Section 3 of the Desalination Act, total funding awarded to institutions of higher education, including United States-Mexico binational research foundations and inter-university research programs established by the two countries is limited to $1,000,000, unless cost-share requirements at the levels described in Section C.2. of this FOA are met. As such, once this funding limit is reached no further funding can be provided to institutions of higher education that do not meet the cost-share levels described in Section C.2. Applications submitted under this FOA also may be considered if additional funding becomes available in FY 2020 or thereafter.

B.2. Project Funding Limitations 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 congressional funding available.

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 proposed project will be available under this funding group for projects that can be completed within two 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 studies are used to generate data that can be used to estimate the operational requirements (labor, chemical addition, power requirements) of the process and to show performance with respect to finished water quality goals. Pilot scale projects are generally preceded by laboratory studies (funded previously by DWPR or others) that demonstrate that the technology works.

Up to $800,000 in Federal funds per proposed project will be available under this funding group for projects that can be completed within three years. The funding will be divided by year and should be included in the proposed budget portion of the application. Funding after the first year is not guaranteed and will be made available based on adequate work completed in the previous year.

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

• Coordinate contributions made by different partners on the project team.

• Evaluate accomplishments as each task is completed.

• Suggest changes to tasks to accomplish project goals.

• Review, provide input, and comment on draft and final research deliverables including the final project report.

You may request technical assistance from Reclamation on your project tasks. If you receive Reclamation’s assistance, you must account for these costs in your budget. To discuss available assistance and Reclamation technical service costs, contact the program administrator identified in Section G: Agency Contacts.

Section C: Eligibility Information

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

• Individuals

• Institutions of higher education

• Profit organizations

• Private entities

• State and local governmental entities

• Entities that are an Administrator of a federally-funded research and development center

• Tribal governments and organizations

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

• Non-profit organizations

Those not eligible include:

• Federal governmental entities

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

Foreign entities other than United States-Mexico binational research foundations and inter-university research programs are not eligible to apply to the program and receive funding directly. Applicants are encouraged to leverage the experience of international partners with considerable expertise in desalination, for example, the State of Israel, the Middle East Desalination Research Center, European Desalination Society, Centro de Investigaciones Energeticas, Medioambientales y Tecnologicas in Spain, and academic and public global institutions.

C.2. Cost Sharing Requirements Non-Federal cost share is not required—but is encouraged—for institutions of higher education and for United States-Mexico binational research foundations and inter-university research programs. All other applicants must be capable of cost sharing 75 percent or more of the total research study costs.

In exceptional circumstances and upon request of the applicant, Reclamation may reduce the cost-share requirement. Applicants seeking a reduced cost share must include in their proposal a justification for why the project would not be feasible without the increased Federal contribution and information regarding the financial capabilities of the applicant and project partners. Under no circumstances will the Federal share of projects funded under this FOA exceed 50 percent of the total project costs.

Cost sharing may be made through cash or in-kind contributions from the applicant or third-party partners. Cost-share funding from sources outside the applicant’s organization (e.g., loans or State grants) should be secured and available to the applicant prior to award.

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

C.2.1. Cost-Share Regulations

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

C.2.2. In-Kind Contributions and Donations

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

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

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

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

http://www.ecfr.gov/

Section C: Eligibility Information

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

C.3.2. Ineligible Projects

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

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

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

• Proposals for research projects developing technologies or processes currently implemented and being used in a United States water treatment facility under the same intent of use as proposed (e.g., pilot testing a commercially available technology at a new location).

• Proposals for constructing permanent research facilities.

C.3.3. Length of Projects

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 (see Section F.3. Reporting Requirements). Applications for projects requiring more time will be considered for funding only under limited circumstances.

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

Section D. Application and Submission Information

Section D. Application and Submission Information

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

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

By mail: Bureau of Reclamation

Financial Assistance Support Section Attn: Ms. Kelli Schulte P.O. Box 25007, MSO 84-27814 Denver, CO 80225

By e-mail: kschulte@usbr.gov

By telephone: 303-445-2499

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

D.2.1. Application Format and Length

The technical proposal and responses to evaluation criteria section of the application package shall be no more than 20 (twenty) consecutively numbered pages. If an application exceeds 20 pages, only the first 20 pages will be evaluated. The font shall be at least 12 points in size and easily readable. Page size shall be 8½ by 11 inches, including charts, maps, and drawings. Oversized pages will not be accepted.

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

Excess pages will be removed and not considered in the evaluation of the proposed project.

mailto:kschulte@usbr.gov

D.2.2. Application Content

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

• Mandatory Federal Forms (will not count toward the page limitation) o SF-424 Application for Federal Assistance o SF-424A, Budget Information Non-construction Programs o SF-424B Assurances Non-construction Programs o SF-LLL Disclosure of Lobbying Activities (if applicable) These forms are at http://www.grants.gov/web/grants/forms/sf-424-family.html

• Title page

• Table of contents

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

• Project budget o Funding plan o Budget proposal o Budget narrative o Letters of commitment

• Personnel qualifications

• Required permits or approvals

• Letters of support

• Request for increase in Federal cost-share justification, if applicable

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

SF-424 Application for Federal Assistance

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

SF-424 Budget Information

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

SF-424 Assurances

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

SF-LLL Disclosure of Lobbying Activities

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

D.2.2.2. Title Page Provide a brief, informative, and descriptive title for the proposed work that indicates the nature of the project. Include the name and address of the applicant, and the name and address, e-mail address, and telephone of the project manager.

D.2.2.3. Table of Contents List all major sections of the proposal in the table of contents.

D.2.2.4. Technical Proposal and Evaluation Criteria The technical proposal should describe the project and supporting information in a manner which allows it to “stand alone” without the need to reference other documents. It should describe the capability of your organization to participate in the DWPR Program and should demonstrate a thorough understanding of the topic proposed for study. The technical proposal should be organized and written so that it can be easily read and meaningfully evaluated by Reclamation personnel and selected external evaluators from a variety of different functional and technical disciplines from other federal government agencies.

The technical proposal and responses to evaluation criteria (20 pages maximum) should include:

(1) Executive summary

(2) Background/introduction

(3) Technical approach and project activities

(4) Research work plan and schedule

(5) QA/QC program

(6) Facilities and equipment information

(7) Environmental impacts

(8) Responses to evaluation criteria

Executive Summary

The executive summary should include:

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

• A one paragraph project summary that specifies the work proposed, including how the requested federal funds help in accomplishing the goals of the proposed project, and briefly identifies how the proposed project contributes to accomplishing the goals of this FOA

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

Background/Introduction

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

• What is the problem to be solved?

• What is the proposed solution?

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

• What technical risks are associated with the proposed investigation? Have you or anyone else conducted similar projects? If so, how successful have these projects been?

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

• Please summarize the Department priorities as well as the DWPR objectives identified in Section E.1 Technical Proposal. Evaluation Criteria that the project is addressing or provide a justification for addressing other problems in this section.

Technical Approach and Project Activities

This section should describe the technical approach and proposed research activities to be conducted under the project and include enough detail to permit a comprehensive evaluation. The applicant’s understanding will be established not only by the proposed approach, but also by anticipating and/or identifying the various problems and assessing the severity of each problem.

Describe in detail the activities or tasks to be conducted, including the development of the final technical report. For each activity, describe what studies and tests you plan to conduct, what kind of apparatus you will need, what data you plan to collect, and how you will analyze the data.

Research Work Plan and Schedule

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

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

Quality Assurance and Quality Control Program

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

If a QA/QC program already exists in your institution, provide a summary of the program and provide additional information as needed to address using the program for your proposed project.

Facilities and Equipment Information

Describe the facilities where the work will be performed. List the equipment that is available for use on the project and that 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.

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

Environmental Impacts

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

Responses to Evaluation Criteria

The responses to evaluation criteria portion of your application should clearly describe how the proposed project addresses each criterion and subcriterion (in the order presented) to assist in the complete and accurate evaluation of your application.

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

D.2.2.5. Project Budget The project budget includes:

(1) Funding plan and letters of commitment

(2) Budget proposal

(3) Budget narrative

Project costs that are anticipated to be incurred prior to award that the applicant would seek reimbursement for or wishes to apply as non-Federal cost share should be included in the proposed project budget.

If the proposed project is selected, the awarding Reclamation Grants Officer will review the proposed pre-award costs to determine if the 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 FOA. In no case will costs incurred prior to October 1, 2019, be considered for inclusion in the proposed project budget for FY 2020 funding; similarly, no costs incurred prior to October 1, 2020, will be considered for inclusion in the proposed project budget for FY 2021 funding.

Funding Plan and Letters of Commitment

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

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

Project funding provided by a source other than the applicant shall be supported with letters of commitment from these additional sources. Letters of commitment shall identify the following elements:

• The amount of funding commitment

• The date the funds will be available to the applicant

• Any time constraints on the availability of funds

• Any other contingencies associated with the funding commitment

Commitment letters from third-party funding sources should be submitted with your project application. If commitment letters are not available at the time of the application submission, please provide a timeline for 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 FOA until the recipient has secured non-Federal cost-share. Reclamation will execute a financial assistance agreement once non-Federal funding has been secured or Reclamation determines that there is enough evidence and likelihood that non-Federal funds will be available to the applicant after executing the agreement.

Please identify the sources of the non-Federal cost-share contributions for the project, including:

• Any monetary contributions by the applicant towards the cost-share requirement and source of funds (e.g., reserve account, tax revenue, and/or assessments)

• Any costs that will be contributed by the applicant

• Any third-party in-kind costs (i.e., goods and services provided by a third party)

• Any cash requested or received from other non-Federal entities

• Any pending funding requests (i.e. grants or loans) that have not yet been approved and explain how the project will be affected if such funding is denied

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

• The project expenditure and anticipated amount

• The anticipated date of cost incurrence

• How the expenditure benefits the project

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

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

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

FUNDING SOURCES AMOUNT

Non-Federal Entities

1. $

2. $

3. $ Non-Federal Subtotal $ Other Federal Entities

1. $

2. $

3. $ Other Federal Subtotal $

REQUESTED RECLAMATION FUNDING $

Budget Proposal

The total project cost (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.

Please include the following charts (Table 2 and Table 3) to summarize all funding sources.

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 $

Table 3.—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 in this subsection and must clearly identify all items of cost, including those that will be contributed as 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. Unit costs must be provided for all budget items including the cost of services or other work to be provided by consultants and contractors. The budget should include the mandatory trip to provide a final presentation at Reclamation’s office in Lakewood, Colorado towards the end of the project. Budget proposals may only include the costs for up to 2 people to attend one conference and the budget should not include any construction costs of permanent research facilities.

Applicants are strongly encouraged to review the procurement standards for Federal awards found in 2 CFR §200.317 through §200.326, available at the Electronic Code of Federal Regulations (www.ecfr.gov), before developing their budget proposal.

It is also strongly advised that applicants use the budget proposal format shown below in Table 4 or a similar format that provides this information. If selected for award, successful applicants must submit detailed supporting documentation for all budgeted costs.

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

Table 4.—Sample Budget Proposal Format

BUDGET ITEM DESCRIPTION COMPUTATION Quantity Type

TOTAL

COST $/Unit Quantity

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

Trip 2 $ Trip 3 $ Equipment (items over $5,000) Item A $ Item B $ Item C $

BUDGET ITEM DESCRIPTION COMPUTATION Quantity Type

TOTAL

COST $/Unit Quantity

Supplies and Materials (items less than $5,000) Item A $ Item B $

Contractual

Contractor A $

Contractor B $

Third Party Contributions Contributor A $ Contributor B $ Other Other $

TOTAL DIRECT COSTS $

Indirect Costs Type of rate percentage $base $

TOTAL ESTIMATED PROJECT COSTS $

Budget Narrative

Submission of a budget narrative is mandatory. An award will not be made to any applicant who fails to fully disclose this information. The budget narrative provides a discussion of, or explanation for, items included in the budget proposal. Include the value of in-kind contributions or donations of goods and services and sources of funds provided to complete the project. The types of information to describe in the narrative include, but are not limited to, those listed in the following subsections. Costs, including the valuation of in-kind contributions and donations, must comply with the applicable cost principles contained in 2 CFR Part §200, available at the Electronic Code of Federal Regulations (www.ecfr.gov).

Salaries and Wages

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

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

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

Fringe Benefits

Identify the rates/amounts, what costs are included in this category, and the basis of the rate computations. Federally approved rate agreements are acceptable for compliance with this item.

Travel

A maximum of one conference attendance for up to two people can be included in the budget. In addition, up to two people can be included for the project presentation, in the budget to travel to Lakewood, Colorado, to present your final findings. In general, this trip should only include lodging for one night.

For all other travel anticipated to occur for your proposed project, identify the purpose of each trip, the destination, number of persons traveling, length of stay, and all travel costs including airfare (basis for rate used), per diem, lodging, and miscellaneous travel expenses. For local travel, include mileage and rate of compensation. Note: travel costs incurred by contractors should not be included in this section but can be included in the contract cost estimate.

Equipment

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

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

Materials and Supplies

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

Contractual

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

Third-Party In-Kind Contributions

Identify all work that will be accomplished by third-party contributors, including a breakdown of all tasks to be completed, and a detailed budget estimate of time, rates, supplies, and materials that will be required for each task. Third-party in-kind contributions, including contracts, must comply 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 FOA.

Environmental and Regulatory Compliance Costs

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

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

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

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

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

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

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

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

If you have questions on Reclamation’s costs to include in the application, please contact the Program Administrator. See Section G. Agency Contacts.

Other Expenses

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

Indirect Costs

Indirect costs that will be incurred during the development or execution of a project, which will not otherwise be recovered, may be included as part of the applicant’s project budget. Show the proposed rate, cost base, and proposed amount for allowable indirect costs based on the applicable cost principles for the recipient’s organization. It is not acceptable to simply incorporate indirect rates within other direct cost line items.

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

If the applicant does not have a federally approved indirect cost rate agreement and is proposing a rate greater than the de minimis 10 percent rate, include the computational basis for the indirect expense pool and corresponding allocation base for each rate. Information on “Preparing and Submitting Indirect Cost Proposals” is available from the Department’s Interiorl Business Center, and Indirect Cost Services, at www.doi.gov/ibc/services/finance/indirect-cost-services. If the proposed project is selected for award, the recipient will be http://www.ecfr.gov/ http://www.doi.gov/ibc/services/finance/indirect-cost-services http://www.doi.gov/ibc/services/finance/indirect-cost-services http://www.doi.gov/ibc/services/finance/indirect-cost-services required to submit an indirect cost rate proposal with their cognizant agency within 3 months of award.

Total Costs

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

D.2.2.6. Personnel Qualifications Provide the following information on personnel:

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

• Identification of key personnel, including…