California Department of Water Resources
Water Use and Efficiency Branch,
Water Recycling and Desalination Section
Water Desalination Grant Program
2017 Round 4 Proposal Solicitation Package (PSP)
FREQUENTLY ASKED QUESTIONS (FAQs)
Questions have been arranged in alignment with the PSP sections, attachments, and appendices for better context and navigation. Using a key word and the search capabilities of your word processormay enhance your use of this file.
GENERAL
Question: Can agencies apply for more than one grant?
Answer: Yes, the Water Desalination Grant Program allows for more than one grant application to be submitted. Each application should represent a stand-alone project.
Each construction project must result in an independent operable municipal water supply project that does not depend on other projects for an operable facility. Each project should quantify the desalinated water independently produced at the facility,
Question: Can an entity that received a grant in a previous round of desalination funding, e.g., Round 2, apply for a grant in Round 4?
Answer: Yes, the entity may apply as long as they still meet the Proposition 1 eligibility criteria.
Question: After a grant is awarded, what is the timeline to use the funds?
Answer: Readiness to proceed is one of the criteria taken into consideration in scoring projects (note criterion 13 in Appendix J (Review and Scoring Criteria) for each project type). After award, a schedule will be incorporated into the funding agreement. Because the Legislature appropriates funds in three year terms, there is a general desire that projects be completed within this timeframe. However, we recognize that a three year term may not be reasonable for many projects. If projects are generally progressing in line with the schedule or if they have justifiable delays, funding agreements and the funds can be extended. This has not been a problem in the past, but there are no guarantees that state budget crises or Legislative restrictions might prevent the availability of funds. Projects expected to take much longer than three years may involve a level of uncertainty that may weigh against them in their scoring during application evaluation before award. Thus, the program is flexible in adapting to schedules that are appropriate for projects, but longer time frames may result in a risk to applicants.
Question: Are small regional projects competing with big ones (such as occurring in Los Angeles)?
Answer: Each project type proposal grouping will be ranked together. Therefore, yes small regional projects and big city projects will be compared. The number of people served is only considered indirectly in the cost of the desalinated water. The unit cost of the water is generally cheaper for larger projects. Aside from disadvantaged communities, we don’t have criteria that address the population served.
Question: Is this the first round of Proposition 1 money earmarked for desalination grants?
Answer: Yes. All of the Proposition 1 funds are available in this Round. If funds remain after the award, we will reopen the application periodsome time after first of 2018.
Question: Are there any other solicitations anticipated for 2017 or 2018?
Answer: If there are insufficient applications that score well to use all of the $93 million in Proposition 1 funds in the Round 4 solicitation, the remaining funds will be rolled over into a new open-ended solicitation in early 2018 available on a first ready-first served continuous application process. This will be available for all project types except Research Pilots. See Section 4.1 of the PSP.
Question: What attachments require the original (“wet”) signature?
Answer: Attachment 1 (Signature Page) is the only document requiring an original "wet" signature document to be provided as a hard copy.
Question: Must all attachments be submitted in hard copy?
Answer: Requirements for hard copies of attachments may be found in Appendix G (Application Checklist). To assist in application review, we request a hard copy of Attachment 16 (Feasibility Study)required for applications of Construction, Design Pilot, and Environmental Documentation project types.
1.INTRODUCTION AND OVERVIEW
1.7Available Funding
Question: Is there a potential that DWR will award funds in an amount less than what is requested?
Answer:DWR maintains the discretionary authority to award less but not more than the amount requested. Key factors that play into the allocation of funds are the number of projects received and scored, distribution of scores, number of projects within each project type, type of applicant (i.e., Disadvantaged Community), State defined priorities, and geographical factors.DWR may also identify project costs that the applicant has requested reimbursement for that are not eligible under the program and may reduce the amount awarded accordingly.
3. ELIGIBILITY AND BENEFIT
3.1Grant Applicant Eligibility
Question: Are public private partnerships (PPPs) allowed to participate in the grant program?
Answer: Yes, with certain conditions. The applicant and recipient of grant funds must be an eligible applicant. The eligible applicant must own the facilities purchased or constructed with grant funds. For Construction type projects, DWR must approve any change in ownership during the useful life of the facility, and any new owner must be an entity that would be an eligible applicant under this PSP (see Section 4.3). Private partners may design, construct, and operate grant funded facilities, but they may not own grant funded facilities unless they are an eligible applicant. For Research Pilot and Design Pilot type projects, the disposition of equipment greater than $5,000 in value is arranged during final funding agreement negotiations. (See PSP Sections 3.1 and 7.3 for additional information.)
3.3Eligible Project Types
Question: Are there specific research objectives or categories you are looking for in the research pilots?
Answer: A major objective is that Research Pilots must have broad applications that apply to more than one project, such as increasing energy efficiency, decreasing brine or brine impacts, or improving intakes. The research categories must work to improve desalination for the state. There are no specific categories targeted in this round of funding.
Some Research project categories are listed in the PSPs for Rounds 1 and 2 and are available online.
Question: Can a project consisting of distribution facilities only be submitted for a grant?
Answer: Yes, a grant proposal may consist of only distribution facilities. The Water Desalination Grant Program is intended to focus on desalination facilities as sources of supply, not on distribution to individual customers. Distribution facilities may be eligible if they are intended to convey a new desalinated water supply from a treatment facility to the community distribution system. A consideration in the evaluation of a distribution facility application would be whether the associated treatment facility was previously funded by the grant program and the water supply benefits of the distribution facility were already accounted for in the previous grant.
3.4Minimum Project Benefits
Question: Should project benefits be presented and quantified?
Answer: Yes. Project benefits should be described and quantified in Attachment 14 (Project Benefits) following the guidance for Attachment 14 in the PSP. Supplemental information on benefits can be added in Attachment 21 (Other Information). A project must have at least one of the three minimum benefits listed in Section 3.4.
4. FUNDING AND COST SHARE
4.2Project Costs And Funding Sources
Question: Can an applicant estimate the project costs including fundingmatch if the actual costs are not yet known?
Answer: Make your best estimate with proper contingencies. The accuracy of an estimate is dependent on many factors. As in all estimations, there are drawbacks for over or under estimating. Some changes to estimates may occur between award and final agreement. The grant award amount is the maximum allowed to be allocated and DWR cannot increase the amount in an agreement over that awarded. DWR may establish a maximum grant amount in a funding agreement less than the grant award if warranted.
4.6Funding Match
Question: Can funds awarded from another State agency (e.g. the California Energy Commission) be used as a funding match to the desalination grant?
Answer: Other state funds cannot be used to count as funding match. If an applicant is receiving state funds from another grant program, and if that grant program also requires a funding match, the same funds cannot be used to match both grants.
6. GRANTEE COMPLIANCE WITH STATE LAWS AND REGULATIONS
6.2Legislation Compliance
Question: The DWR review of our Urban Water Management Plan (UWMP) has not been completed. Will that affect our scoring?
Answer: No, it will not affect the scoring. When an application passes the initial screening, any applicants with pending UWMP reviews will have those reviews expedited by DWR. The expedited review will determine whether the UWMP is complete. Applicants are required to have a complete UWMP before the grant funding agreement is executed andthe applicant receives grant funding.
The determination of UWMP compliance for funding starts with Attachment 3 (Water Legislation Compliance)and additional information found in PSP Section 6.2. Note, once awarded, a grantee will be required to demonstrate continued UWMP compliance to DWR.
Question: An applicant is proposing a brackish groundwater desalination design pilot, which is a design pilot to construct and test pilot wells and treatment technologies. The design pilot overlies a low priority groundwater basin.
The design pilot is not expected to affect groundwater levels or quality. Will the project proponent be subject to the requirements in Appendix L of the PSP, and will the project proponent be required to commit to adopting a GWMP within 1-year of the grant application submittal date?
Answer: All applicants describe their compliance with groundwater laws in Attachment 3, items 3.2 and 3.3 and use Appendix L (Groundwater Management and Measurement Requirements) as a guide.The applicant may need to seek advice of legal counsel in completing Attachment 3. The groundwater laws are complex, and DWR is not able to answer this question at this time. A Design Pilot type project is defined as a design activity intended to lead to implementation of a full-scale project. The full scale project, in this case, would be a project affecting groundwater levels or quality.
8. DWR PSP AWARD AND FUNDING PROCESS
Question: The PSP indicates that interviews or site visits may be needed during the review process. What is the chance of that happening?
Answer: It is unlikely during the review process in this Round 4, but it could occur sometime during the contract negotiations if needed. Once a grant is awarded, a site visit is a normal part of the grant project oversight and management.
11. APPLICATION COMPONENTS
11.2Part 2: Projects
Question: Secondary implementing organizations are required to be listed in Part 2 Project Information in GRanTS. Section 11.2 of the PSP instructs applicants to refer to Attachment 3(Water Legislation Compliance) if there is more than one secondary implementing organization. However, Attachment 3 does not name these organizations. Can we reference Attachment 9 (Work Plan) to reference other partners?
Answer: Yes, if there is more than one secondary implementing organization, please refer to Attachment 9 (Work Plan) to list the additional organizations.
11.3Part 3: Eligibility Questions
Question: Does the application for patents by the applicant affect scoring?
Answer: No, application for patents does not directly affect scoring. However, all applications and work products, including data collected and testing results, are public information without restrictions on how others may use that information, in accordance with Section 7.3.d and 7.3.e. This question is best answered in context with the Research Pilot type project. If the applicant intends to limit in some fashion the dissemination of information that is proposed to be gained as a result of conducting a grant funded research project and this was described in the work plan, it would likely affect the scoring.
Note also Section 11.3 Part 3: Eligibility Questions, Question 6,and Attachment 8 (Scope of Work), Patents for Research.
11.4Part 4: Application Attachments
Question: Do all project types require the applicant to complete every attachment?
Answer: DWR may reassign an application to a more appropriate project type category. Transferring an application to another project type can only be done if the application has all of the necessary attachments for the reassigned project type. Therefore, applicants should submit all potentially applicable attachments to facilitate this potential reassignment. However, the PSP’s Table 5 in Section 11.4 provides the minimum attachments necessary for each project type.
Attachments:
General:
Question: Can acronyms or abbreviations be used, especially if attachments have page limitations? Can a list of acronyms be provided in Attachment 21 (Other Information)?
Answer: Acronyms or abbreviations can be used, but should always be definedwithin each document or attachment to assist technical reviewers in understanding the material. A master list of acronyms and abbreviationscan be included in Attachment 21, but it cannot be assumed that readers would be aware of such a list.
Question: Can reference documents be submitted and cited, especially to supplement attachments with page limitations? Can these references be provided in Attachment 21 (Other Information)?
Answer: Yes with caveats. The required attachments must always have the most essential information or a succinct summary of this to assist technical reviewers in understanding the material. It cannot be assumed that technical reviewers will have time to read other documents. Supplemental reference documents can be included in Attachment 21. Citations or references to these supplemental documents should refer the reader to specific sections or pages with the most relevant information.
Question: If 1-inch margins are specified for an attachment, do all margins have to be 1 inch or can the header be smaller than 1-inch?
Answer: Where 1-inch margins are specified, header and footer margins may be reduced.
ATTACHMENT 2 – PROPOSAL AUTHORIZATION
Question: Is an authorizing resolution from our organization’s governing body, board or council, required with the application?
Answer: Yes, it is required. A resolution communicates that the organization is agreeing to support the project. In fact, the application duedate was extended to give organizations more time to prepare and to approve the authorizing resolution.
ATTACHMENT 3 –WATER LEGISLATION COMPLIANCE
Question: When creating the filename as described on page 45 (PSP Section 11.4 Part 4: Application Attachments), should we use “Participants” or “Compliance” for the AttachmentName portion of the filename?
On page 49,Attachment 3 is called “Water Legislation Compliance” but shows an AttachmentNameof "Participants". However on page 96 Attachment 3is called "Other Participating Organizations". There seems to be holdover language from a prior funding round. It appears that the AttachmentName forAttachment 3 files should be"Compliance" to reflect the current title of Attachment 3.
Answer: You are correct that the shorthand name for Attachment 3 is a holdover from a previous solicitation. The Attachment 3 title is also incorrect on page 96. You may use “Compliance” for the AttachmentName portion of the file name for Attachment 3; otherwise please follow the file naming convention described in Section 11.4 for naming attachments so that the file names also include the attachment number.
ATTACHMENT 5 – FUNDING MATCH AGREEMENT
Question:Both Attachments 4 and 5 have the AttachmentName: FundingMatch. How should we name these attachments?
Answer: We did use the same AttachmentName for both Attachments 4 and 5 (pages 51 and 53 respectively), which was an oversight. While utilizing the file naming convention shown in Section 11.4,replace the AttachmentNamewith theFilename Root name shown in the Table on page 96 (Appendix G).
For Attachment 4 the Filename Root is CostShare.
For Attachment 5 the Filename Root is Agreements.
In any case, make sure you include the attachment number, while utilizing the file naming convention shown in Section 11.4so there will be no confusion between attachments.
Question: Can some of the funding match come from a private entity?
Answer: Funding Match is to be provided from non-state grant sources. A private entity can providesome, or all, of the funding match as long as there aren’t any strings attached to the funding, such as ownership or other benefits. Include in Attachment 5 the promise of funding. Documentation of private entities providing payments to the project must be included in the invoices and quarterly reports.
ATTACHMENT 6 – PROJECT BACKGROUND
Question: What is the best way to presentunfundedparts (not requesting Desalination grant funds) of the total project to create a complete story?
Answer: Present the Total Project details in Attachment 6. This is important to describe the whole project to see then how the tasks and costs relate to the proposed grant funding.
Question:How shouldConstruction Project work that is at or near completion be presented in the application?
Answer: Present the Total Project details in Attachment 6. For the rest of the application documents, focus on describing the details of the proposed work requesting grant funds and funding match consideration.
Question:How should benefits and innovative aspects of the Total Project funding be presented in the application when they are for unfunded parts of the project?
Answer: Benefits may over-arch an entire project. If the funded portion of a project is essential for the Total Project to achieve certain benefits, then those benefits can be ascribed to the Funded Project. Make sure to present the benefits and innovative aspects in the BENEFITS section, Attachment 14 (Project Benefits). They can be considered even though they aren’t part of the funded project. Present the Total Project details in Attachment 6.
ATTACHMENT 12 – GREENHOUSE GAS EMISSION ESTIMATIONS
Question: Attachment 12 asks for a “Proposal Number”. Where can we find our application number?
Answer: DWR will assign a"Proposal Number" for all applications after the application is submitted and accepted in GRanTS. The number will be entered in Attachment 12 by DWR staff after the project is screened.