fy20_water_technology_rfa_final.pdf

COVID-19 Update: EPA is providing flexibilities to applicants experiencing challenges related to COVID-19. Please see the Flexibilities Available to Organizations Impacted by COVID-19 clause in Section IV of EPA’s Solicitation Clauses.

OVERVIEW INFORMATION

U.S. Environmental Protection Agency Office of Science Advisor, Policy and Engagement Office of Research and Development Innovative Water Technology Grant Program

Deployment of Innovative Water Technologies for Very Small Drinking Water Systems, Areas Served by Private Wells and Source Waters

This is the initial announcement of this funding opportunity.

Funding Opportunity Number: EPA-G2021-ORD-B1

Assistance Listing Number: 66.521

Solicitation Opening Date: November 16, 2020 Solicitation Closing Date: January 12, 2021: 11:59:59 pm Eastern Time

Table of Contents

SUMMARY OF PROGRAM REQUIREMENTS

Synopsis of Program Award Information Eligibility Information Application Materials Agency Contacts

I. FUNDING OPPORTUNITY DESCRIPTION

A. Introduction

B. Background C. Authority and Regulations D. Specific Areas of Interest/Expected Outputs and Outcomes E. References F. Special Requirements

II. AWARD INFORMATION

III. ELIGIBILITY INFORMATION

A. Eligible Applicants https://www.epa.gov/grants/epa-solicitation-clauses

B. Cost Sharing C. Other

IV. APPLICATION AND SUBMISSION INFORMATION

A. Grants.gov Submittal Requirements and Limited Exception Procedures B. Application Package Information C. Content and Form of Application Submission D. Submission Dates and Times E. Funding Restrictions F. Submission Instructions and Other Submission Requirements

V. APPLICATION REVIEW INFORMATION

A. Peer Review B. Relevancy Review C. Past Performance History Review D. Human Subjects Research Statement (HSRS) Review E. Evaluation of the Scientific Data Management Plan F. Funding Decisions G. Additional Provisions for Applicants Incorporated into the Solicitation

VI. AWARD ADMINISTRATION INFORMATION

A. Award Notices B. Disputes C. Administrative and National Policy Requirements

VII. AGENCY CONTACTS

Access Standard Forms (https://www.epa.gov/research-grants/research-funding-opportunities-how-apply-and-required-forms) View research awarded under previous solicitations (https://www.epa.gov/research-grants/research-grant-areas)

SUMMARY OF PROGRAM REQUIREMENTS

Synopsis of Program:

America’s Water Infrastructure Act of 2018, 42 U.S.C. 300j-1a, Section 2007, authorizes a grant program for the purpose of accelerating the development and deployment of innovative water technologies that address pressing drinking water supply, quality, treatment, or security challenges of public water systems, areas served by private wells, or source waters. The U.S.

Environmental Protection Agency (EPA), Office of Research and Development (ORD), is seeking applications to facilitate multi-state cooperation and accelerate the development and deployment of innovative water technologies that address pressing drinking water supply, quality, treatment, or security challenges of very small public water systems (serving 500 persons or fewer), areas served by private wells, or source waters.

This solicitation provides the opportunity for the submission of applications for projects that may involve human subjects research. Human subjects research supported by the EPA is governed by EPA Regulation 40 CFR Part 26 (Protection of Human Subjects). This includes the Common Rule at subpart A and prohibitions and additional protections for pregnant women and fetuses, https://www.epa.gov/research-grants/research-funding-opportunities-how-apply-and-required-forms https://www.epa.gov/research-grants/research-funding-opportunities-how-apply-and-required-forms https://www.epa.gov/research-grants/research-grant-areas https://www.epa.gov/research-grants/research-grant-areas nursing women, and children at subparts B, C, and D. Research meeting the regulatory definition of intentional exposure research found in subpart B is prohibited by that subpart in pregnant women, nursing women, and children. Research meeting the regulatory definition of observational research found in subparts C and D is subject to the additional protections found in those subparts for pregnant women and fetuses (subpart C) and children (subpart D). All applications must include a Human Subjects Research Statement (HSRS, as described in Section IV.C.6.c of this solicitation), and if the project involves human subjects research, it will be subject to an additional level of review prior to funding decisions being made as described in Sections V.D and V.F of this solicitation.

Guidance and training for investigators conducting EPA-funded research involving human subjects may be obtained here:

https://www.epa.gov/osa/basic-information-about-human-subjects-research-0 https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title40/40cfr26_main_02.tpl

Award Information:

Anticipated Type of Award: Grant Estimated Number of Awards: One award Anticipated Funding Amount: $1 million Potential Federal Funding per Award: Up to a total of $1 million in federal funds, including direct and indirect costs, with a maximum duration of 3 years. Each applicant must contribute a minimum non-federal cost share/match of 35% of the total project costs which is equivalent at a minimum to 53.846% of the federal amount. Cost share/match may include in-kind contributions (see Section III.B. for more detail).

Cost-sharing is required in accordance with America’s Water Infrastructure Act of 2018, 42 U.S.C. 300j-1a, Section 2007. Applications with budgets including a federal contribution exceeding the total maximum federal award limit of $1 million will not be considered. Each applicant must contribute a minimum non-federal cost share/match of 35% of the total allowable project costs which is equivalent at a minimum to 53.846% of the federal amount. Cost share may include in-kind contributions. In order to be eligible for funding consideration, applicants must demonstrate in their applications how they will meet the required minimum cost share/match in accordance with 2 CFR §200.306. The minimum 35% non-federal cost share/match, equal to a minimum of $538,462 (assuming the applicant requests $1,000,000 in EPA funds) must be included. Including matching, total project costs can exceed $1,538,462 (if the applicant proposes more than the minimum required non-federal cost share/match), however, the federally-funded portion of the budget must not exceed $1,000,000.

Eligibility Information:

In accordance with America’s Water Infrastructure Act of 2018, 42 U.S.C. 300j-1a, Section 2007, public water systems (as defined under section 1401(4) of the Safe Drinking Water Act (42 U.S.C. 300f(4)), institutions of higher education, research institutions or foundations, regional water organizations, and nonprofit organizations described in section 1442(e)(8) of the Safe Drinking Water Act (42 U.S.C. 300j-1(e)(8)), located in the U.S. or its territories or possessions https://www.epa.gov/osa/basic-information-about-human-subjects-research-0 https://www.ecfr.gov/cgi-bin/text-idx?tpl=/ecfrbrowse/Title40/40cfr26_main_02.tpl are eligible to apply. Profit-making firms and individuals are not eligible to apply under this RFA. See full announcement for more details.

Application Materials:

To apply under this solicitation, use the application package available at Grants.gov (for further submission information see Section IV.F. “Submission Instructions and other Submission Requirements”). Note: With the exception of the current and pending support form (available at https://www.epa.gov/research-grants/research-funding-opportunities-how-apply-and-required-forms), all necessary forms are included in the electronic application package. Make sure to include the current and pending support form in your Grants.gov submission.

If your organization is not currently registered with Grants.gov, you need to allow approximately one month to complete the registration process. Please note that the registration process also requires that your organization have a unique entity identifier (e.g., ‘DUNS number’) and a current registration with the System for Award Management (SAM) and the process of obtaining both could take a month or more. Applicants must ensure that all registration requirements are met in order to apply for this opportunity through Grants.gov and should ensure that all such requirements have been met well in advance of the submission deadline. This registration, and electronic submission of your application, must be performed by an authorized representative of your organization.

If you do not have the appropriate internet access to utilize the Grants.gov application submission process for this solicitation, see Section IV.A below for additional guidance and instructions.

Agency Contacts:

Technical Contact: Hayley Aja; phone: 202-564-6427; email: aja.hayley@epa.gov Eligibility Contact: Ron Josephson; phone: 202-564-7823; email: josephson.ron@epa.gov Electronic Submissions Contact: Debra M. Jones; phone: 202-564-7839; email:

jones.debram@epa.gov

I. FUNDING OPPORTUNITY DESCRIPTION

A. Introduction Under the 1996 Amendments to the Safe Drinking Water Act (SDWA), the responsibility for making sure public water systems provide safe drinking water is divided among EPA, states, tribal nations, water systems and the public (U.S. EPA, 2020a). Potential threats to drinking water safety come from the occurrence of contaminants including chemicals or pathogens in source waters that make it through the treatment process; infrastructure failures caused by aging;

premise plumbing issues, such as lead pipes or opportunistic pathogens; oversized distribution systems leading to stagnant water; disinfection by-products; and others. Many drinking water systems are operating beyond their original life expectancy, while others are quickly approaching the end of their useful life spans. These systems and their operators face numerous challenges as https://www.epa.gov/research-grants/research-funding-opportunities-how-apply-and-required-forms https://www.epa.gov/research-grants/research-funding-opportunities-how-apply-and-required-forms mailto:aja.hayley@epa.gov mailto:josephson.ron@epa.gov mailto:jones.debram@epa.gov they seek to provide a reliable and safe supply of drinking water. These challenges include climate uncertainty, aging distribution systems, and energy costs (Speight, 2015).

Water technology innovation1 can help address the nation’s pressing drinking water challenges.

The EPA’s Office of Water summed up the challenge for moving water technologies forward, “The dilemma is how to obtain approval for new or alternative technologies in a state, and how to ensure that, or to the greatest extent possible, approvals transfer from state to state without costly, time consuming, or redundant pilot studies or other requirements.” (U.S. EPA, 1996; U.S.

EPA 2020b). Research is needed on innovative approaches that state drinking water authorities can use to address these threats and protect public health, as well as to promote efficiency in the approval of these technologies nationwide. EPA is issuing this solicitation to provide technical assistance to deploy demonstrated innovative water technologies to very small public drinking water systems, areas served by private wells, or source waters. Although public water systems and private wells are regulated differently, there are some similarities in treatment options.

The grant to be awarded under this competition shall be awarded to an eligible entity to provide technical assistance to deploy demonstrated innovative water technologies for very small public water systems (serving 500 persons or fewer), areas served by private wells, or source waters.

The EPA currently supports a number of drinking water-related research grants resulting from previous solicitations. Information regarding current research can be found on EPA’s Research Grants website at https://www.epa.gov/research-grants/.

EPA recognizes that it is important to engage all available minds to address the environmental challenges the Nation faces. At the same time, EPA seeks to expand the environmental conversation by including members of communities which may have not previously participated in such dialogues to participate in EPA programs. For this reason, EPA strongly encourages all eligible applicants identified in Section III, including minority serving institutions (MSIs), to apply under this opportunity.

For purposes of this solicitation, the following are considered MSIs:

1. Historically Black Colleges and Universities, as defined by the Higher Education Act (20 U.S.C. § 1061(2)). A list of these schools can be found at Historically Black Colleges and Universities;

2. Tribal Colleges and Universities (TCUs), as defined by the Higher Education Act (20 U.S.C. § 1059c(b)(3) and (d)(1)). A list of these schools can be found at American Indian Tribally Controlled Colleges and Universities;

3. Hispanic-Serving Institutions (HSIs), as defined by the Higher Education Act (20 U.S.C.

§ 1101a(a)(5)). A list of these schools can be found at Hispanic-Serving Institutions;

1 Water technology innovation is “The development and deployment of new technologies and processes; new applications of existing technology; production changes; and organizational, management and cultural changes that can improve the condition and sustainability of our water resources.” (U.S. EPA, 2014).

https://www.epa.gov/research-grants/ https://sites.ed.gov/whhbcu/one-hundred-and-five-historically-black-colleges-and-universities/ https://sites.ed.gov/whhbcu/one-hundred-and-five-historically-black-colleges-and-universities/ https://sites.ed.gov/whiaiane/tribes-tcus/tribal-colleges-and-universities/ https://sites.ed.gov/whiaiane/tribes-tcus/tribal-colleges-and-universities/ https://www2.ed.gov/about/offices/list/ope/idues/hsi-eligibles-2016.pdf

4. Asian American and Native American Pacific Islander-Serving Institutions;

(AANAPISIs), as defined by the Higher Education Act (20 U.S.C. § 1059g(b)(2)). A list of these schools can be found at Asian American and Native American Pacific Islander- Serving Institutions; and

5. Predominately Black Institutions (PBIs), as defined by the Higher Education Act of 2008, 20 U.S.C. 1059e(b)(6). A list of these schools can be found at Predominately Black Institutions.

B. Background Recent data show there are more than 148,000 public drinking water systems in the U.S. serving more than 300 million people (U.S. EPA, 2020c). Potential threats to drinking water safety come from many sources, including the presence of chemical or biological contaminants. Due to similarities of state regulations that are often implemented based on federal regulation, it is expected that the contaminants and concentrations investigated will be similar.

Water technology innovation can help address the nation’s pressing drinking water challenges.

In particular, innovative water technologies and processes can play a crucial role in economically and effectively ensuring adequate supplies of safe drinking water. Even for innovative water technologies that are technically effective, there may be institutional, cultural, financial and regulatory barriers to their widespread acceptance and beneficial implementation.

Challenges Facing Small Drinking Water Systems Small drinking water systems face unique challenges that larger systems may not. Under the SDWA, small public water systems are broadly characterized as serving 10,000 persons or fewer. This category of systems represents 97% of the nation’s public drinking water systems.

SDWA further breaks down small systems into those serving 3,301 – 10,000 persons, those serving 501 – 3,300 persons, and those serving 500 persons or fewer (U.S. EPA, 2020d).

Systems serving 500 persons or fewer are known as “very small drinking water systems” (U.S.

EPA, 2020e).

These very small systems often lack not only the financial resources to implement advanced technologies to address contaminants of concern, but also the technical background to identify and evaluate innovative technologies or approaches. This applies not only to the drinking water systems themselves but also to the local technology providers or consultants that these systems rely on. Beyond the initial choice of the technology or approach, the financial, managerial and technical capabilities of small community systems may also lack the operational and maintenance expertise of the chosen technology or approach. These issues also relate to areas served by private wells, such as homes, farms, or businesses, in addition to non-community water systems, such as campgrounds, schools, or hospitals.

Innovative technologies can be a cost-effective and reliable way to address challenges that face very small drinking water systems and areas served by private wells. However, new technologies are not often considered for small systems because, as discussed above, these systems are less likely to have the resources, expertise, and ability to successfully implement and maintain them https://www.google.com/maps/d/u/0/viewer?mid=1XVkOWKMDORm53pvU0L8EPsrJC94&msa=0&ie=UTF8&t=m&z=3&source=embed&ll=40.58644586187277%2C-148.28228249999984 https://www.google.com/maps/d/u/0/viewer?mid=1XVkOWKMDORm53pvU0L8EPsrJC94&msa=0&ie=UTF8&t=m&z=3&source=embed&ll=40.58644586187277%2C-148.28228249999984 https://www.google.com/maps/d/u/0/viewer?mid=1wlIi3j7gtlNq_w-0NKAb2bF2VmY&ie=UTF&msa=0&ll=37.35160769312534%2C-96.17229800000001&z=4 https://www.google.com/maps/d/u/0/viewer?mid=1wlIi3j7gtlNq_w-0NKAb2bF2VmY&ie=UTF&msa=0&ll=37.35160769312534%2C-96.17229800000001&z=4

(Ringenberg et al., 2017). Approval of new technology for small drinking water systems is also difficult because of limited state resources to evaluate innovative water technologies and processes (Shih et al., 2006). Additionally, public water systems and areas served by private wells tend to be risk-averse and prefer to use proven technologies (Ringenberg et al., 2017).

Public water systems require adequate performance data to ensure a new technology is going to work properly under specific circumstances to protect public health. Additionally, technology providers have limited resources to provide the long-term treatment data the states and communities desire, especially given that each location will have a specific water quality that will impact treatment performance. Each state has its own requirements regarding the data that are needed for these long-term treatment studies. These factors can greatly increase the cost of business for technology providers if the communities don’t have the financial resources for testing, which is often the case for very small systems and private residences. Therefore, in many cases, communities are not able to fully consider and potentially implement the full range of innovative technologies that might help them improve delivery of safe water to consumers.

Areas Served by Private Wells It is estimated that more than 13 million households rely on private wells for drinking water in the U.S. (U.S. Census Bureau, 2017). The U.S. Geological Survey published the results of water quality data for private wells, which indicated the occurrence of a wide range of contaminants – including nitrate, arsenic, organic compounds and microbial contaminants – some above health-based limits (Desimone et al., 2009). EPA does not regulate private wells, nor does it provide recommended criteria or standards for individual wells; private well owners are responsible for the safety of their water. However, EPA does offer information regarding the importance of testing private wells and guidance on technologies that may be used to treat or remove any contaminants. The EPA Private Wells website educates well owners on wells, groundwater, and information on protecting their health (U.S. EPA, 2020f).

Although public water systems and private wells are regulated differently, there are some similarities in treatment options. Many of the possible technologies used for very small systems would also apply to areas served by private wells, especially in situations where water is provided to more than a single residence (e.g., family farm). For example, it is possible that the optimal approach for very small systems may entail the installation of point-of-use treatment devices which are also directly applicable to residences on private wells. Because of the similarities in treatment options, this RFA will focus on both very small drinking water systems (serving 500 persons or fewer) and areas served by private wells.

Water Infrastructure and Drinking Water Quality in Underserved Areas Across the country, funding mechanisms such as grants and loans are available for water infrastructure. Each state has revolving loan fund programs to support development and maintenance of drinking water infrastructure (U.S. EPA, 2020g). More recently, the EPA Water Infrastructure Finance Innovation Act was established to provide loans to communities for water infrastructure (U.S. EPA, 2020h). Additionally, water infrastructure funds for tribes and other communities are available through programs administered by the U.S. Department of Agriculture (USDA, 2020) and the Indian Health Service (IHS, 2020). Despite these long-standing national programs, over two million people in the U.S. may not have access to clean drinking water and wastewater services (U.S. Water Alliance, 2019). Many of these people reside in underserved, remote areas of the country with very small water systems or private wells. Innovative water technologies may be able to help people who live in underserved or remote areas obtain adequate supplies of safe drinking water.

Approval Process for Innovative Water Technologies As mentioned above, state regulatory agencies play an important role in acceptance and approval of innovative water technologies before they can be implemented. The expertise and capacity for evaluating new technologies varies by state, and the approval process can be time consuming.

One study on state approval for small drinking water system technologies found that out of 40 agencies surveyed, half indicated that there were no full-time equivalent (FTE) state employees dedicated to technology approval and six of the forty indicated having less than one FTE available (Ringenberg et al., 2017). In addition to resource and time limitations, additional barriers slowing the rate of adoption and approval by state agencies include:

• Concern over public health and possible risks associated with innovative technologies;

• Limited staff and resources to oversee the implementation and maintenance of innovative technologies;

• State-by-state approvals requiring pilot testing and demonstrations of the same technology across multiple states; and

• Lack of long-term pilot and performance data (or lack of confidence in existing data).

A challenge for technology providers is obtaining approval for their technology on a state-by-state basis (Ajami et al., 2014). To make the process of approving new technologies less complex and duplicative, some individual states have expressed an interest in working together to reduce the individual state efforts (Ringenberg et al., 2017). Streamlined technology adoption methods have been developed and implemented, to various degrees, for water and other technologies. One example of state reciprocity agreements is commonly referred to as the “10 States Standards”.

The Great Lakes – Upper Mississippi River Board of State and Provincial Public Health and Environmental Managers publish consistent guidelines for the design, review and approval of plans and specifications for public wastewater collection and treatment facilities in Illinois, Indiana, Iowa, Michigan, Minnesota, Missouri, New York, Ohio, Ontario, Pennsylvania and Wisconsin. Engineers can then use the Recommended Standards to determine water facility needs and treatment processes during the design phase of a project (GLUMRB, 2014).

Awareness of previous work and incorporation of relevant elements is essential for ensuring the quality, quantity, and value-added of outputs from the current project.

Existing Protocols for Drinking Water Testing and Cooperation Organizations such as EPA, National Science Foundation (NSF), and the Water Quality Association (WQA), have previously developed drinking water testing protocols and have tested innovative technologies against the protocols to provide technically defensible technology testing information to state regulatory programs, the public and others to assist in decision-making and permitting decisions (U.S. EPA, 2013). For example, EPA researchers developed and evaluated innovative methods and cost-effective technologies to provide states and water utility operators with important information about removing arsenic from drinking water in order to meet the lower standards set in 2001 (U.S. EPA, 2016a; U.S. EPA, 2016b).

In addition, EPA ORD recently conducted bench and field testing of UV disinfection technologies to assess new approaches and procedures for monitoring and validating UV reactors used in drinking water treatment. Through a stakeholder process, EPA prepared a report entitled Innovative Approaches for Validation of Ultraviolet Disinfection Reactors for Drinking Water Systems (U.S. EPA, 2016c). The report presents several new validation approaches that meet the requirements of the Long Term 2 Enhanced Surface Water Treatment Rule (LT2ESWTR), conform to the underlying principles of the Ultraviolet Disinfection Guidance Manual (UVDGM), and document the advancement of UV testing and analysis since the 2006 UVDGM (U.S. EPA, 2006). These UV testing and analysis protocols should provide broad application across State regulatory offices. Complementary to this effort, a “UV Treatment Toolkit” has been developed by the EPA and the drinking water programs of the states of Ohio, Indiana, and Kentucky (Adams et al., 2019). This document outlines a protocol for plan review that includes UV design requirements, validation requirements, operations requirements, and factors for awarding disinfection credit. In addition, the UV Treatment Toolkit includes templates that may benefit state officials responsible for review of treatment plans and monthly reports.

These testing programs have been successful; however, it has been difficult to establish effective models and platforms to assist in approvals of innovative technology across multiple states.

Development and cataloging of effective case studies will be important to this research.

This solicitation seeks to provide technical assistance to deploy demonstrated innovative water technologies to very small public drinking water systems (serving 500 persons or fewer), areas served by private wells or source waters. The respondents to this solicitation should focus on determining how states consider sources of performance data and other information to make decisions to allow innovative water technologies to be used. Applicants should also identify case studies to establish effective ways for multiple state regulatory agencies to cooperate to prevent or minimize state-by-state testing regimes. Applicants should not focus on establishing new testing protocols that generate performance data.

C. Authority and Regulations The authority for this RFA and resulting awards is contained in the America’s Water Infrastructure Act of 2018, 42 U.S.C. 300j-1a, Section 2007.

For research with an international aspect, the above statute is supplemented, as appropriate, by the National Environmental Policy Act, Section 102(2)(F). Note that a project’s focus is to consist of activities within the statutory terms of EPA’s financial assistance authorities;

specifically, the statute(s) listed above. Generally, a project must address the causes, effects, extent, prevention, reduction and elimination of air pollution, water pollution, solid/hazardous waste pollution, toxic substances control or pesticide control depending on which statute(s) is listed above. Further note applications dealing with any aspect of or related to hydraulic fracking will not be funded by EPA through this program.

Additional applicable regulations include: 2 CFR Part 200, 2 CFR Part 1500, and 40 CFR Part 40 (Research and Demonstration Grants).

D. Specific Areas of Interest/Expected Outputs and Outcomes Note to applicant: The term “output” means an environmental activity, effort, and/or associated work products related to an environmental goal or objective, that will be produced or provided over a period of time or by a specified date. The term “outcome” means the result, effect or consequence that will occur from carrying out an environmental program or activity that is related to an environmental or programmatic goal or objective.

The activities to be funded under this announcement support EPA’s FY 2018-22 Strategic Plan (https://www.epa.gov/planandbudget/strategicplan). Activities to be funded under this announcement support Goal 3: Greater Certainty, Compliance, and Effectiveness, Objective 3.3:

Prioritize Robust Science, of EPA’s FY 2018-22 Strategic Plan. Awards made under this announcement will further EPA’s priorities supporting robust science for Safe and Sustainable Water Resources. All applications must be for projects that support the goal and objective identified above.

EPA also requires that grant applicants adequately describe environmental outputs and outcomes to be achieved under assistance agreements (see EPA Order 5700.7A1, Environmental Results under Assistance Agreements, https://www.epa.gov/grants/epa-order-57007a1-epas-policy-environmental-results-under-epa-assistance-agreements). Applicants must include specific statements describing the environmental results of the proposed project in terms of well-defined outputs and, to the maximum extent practicable, well-defined outcomes that will demonstrate how the project will contribute to the priorities described above.

The Agency is soliciting research to provide technical assistance to deploy demonstrated innovative water technologies to very small public drinking water systems (serving 500 persons or fewer), areas served by private wells, or source waters.

The proposed research should provide actionable information to deploy demonstrated innovative water technologies that could be shared across state regulatory agencies. Applicants are encouraged to develop partnerships across communities and other governmental and non-governmental entities to demonstrate appropriate models and methods for that drinking water system. The proposed research should have the potential to: (1) reduce ratepayer or community costs or costs of future capital investments; (2) significantly improve human health or the environment; or (3) provide additional drinking water supplies with minimal environmental impact. Projects that do not have the potential to address either 1, 2 or 3 may not be rated as highly as those that do.

EPA is interested in applications that are responsive to at least one of the research questions listed under EACH of the three research areas (A-C) described below. This means at least one research question should be addressed per each research area. Applications that do not address at least one of the research questions listed under each of the three research areas described below may not be rated as highly as those that do.

https://www.epa.gov/planandbudget/strategicplan https://www.epa.gov/grants/epa-order-57007a1-epas-policy-environmental-results-under-epa-assistance-agreements https://www.epa.gov/grants/epa-order-57007a1-epas-policy-environmental-results-under-epa-assistance-agreements

Research Areas:

A. Reducing the economic costs of deploying demonstrated innovative water technologies.

1. How can performance and cost data generated in one state be used to streamline the approval of a technology by other state regulatory agencies?

• Applications should leverage benchmark cost information used in federal regulations.

• Cost-effective methods are essential to multi-state deployment of innovative technologies.

2. How can demonstrated innovative water technologies be deployed and maintained in communities with little or no capital or technical resources (e.g., very small public drinking water systems or unincorporated communities)?

B. Improving public health and reducing the risks of deploying demonstrated innovative water technologies.

1. What are the key areas (e.g., contaminants of concern, infrastructure issues) in need of innovation for the drinking water treatment process in very small public drinking water systems and areas served by private wells?

• The application should focus on chemicals and pathogens regulated by the National Primary Drinking Water Regulations, including microorganisms, disinfectants, disinfection byproducts, inorganic chemicals, organic chemicals, and radionuclides.

• For contaminants where no federal regulation exists, the application should account for possible differences in the types and levels of contaminants regulated in each state.

2. What kind of measures can be put in place to manage the public health risk of deploying demonstrated innovative water technologies while receiving regulatory acceptance?

• Applicants should identify examples and propose creative risk mitigation strategies for potential technology failure or community resistance to the technology.

C. Streamlining the approval process for deploying demonstrated innovative technologies that provide clean drinking water supplies with minimal environmental impact.

1. How can existing case studies of states successfully sharing data on innovative technology performance and costs with other states be applied to drinking water testing protocols?

• Applicants could look at generic models for multi-state cooperation from other programs or domains that may have applicability in this case.

2. What, if any, existing test protocols for water technologies are already accepted by multiple state regulatory agencies?

• Consider how they can be leveraged for use by very small public drinking water systems, areas served by private wells or source waters.

3. Beyond the testing protocols that are currently available, what other guidance or information would be needed for deploying demonstrated innovative water technologies across multiple states?

https://www.epa.gov/ground-water-and-drinking-water/national-primary-drinking-water-regulations

4. How can states cooperate and share information among state decisionmakers about deploying demonstrated water technologies?

• Applications should consider how this cooperation would be sustainable in the future.

Expected Outputs and Outcomes Outputs: Outputs expected from the award under this solicitation may include publications of research results in peer-reviewed journals, guidance documents, decision support tools, models, demonstration and case studies, reports, and presentations related to multi-state cooperation and adoption of standard test protocols for validating innovative water technologies. Other examples of expected outputs are listed below:

• Cost-effective models or frameworks for sharing data on innovative water technologies across multiple states in order to streamline the technology approval process.

• Methods for deploying and maintaining innovative water technology in communities with limited resources.

• Identification of key areas within the treatment process that are in need of innovation to control chemical and biological contaminants of concern.

• Creative strategies for mitigating the public health risk of deploying demonstrated innovative water technologies while receiving regulatory acceptance.

• Identification of effective case studies or generic models of states successfully sharing data on innovative technology performance and costs with other states.

• Identification of any testing protocols for drinking water treatment technologies that are already shared across multiple states.

• Guidance for technology providers to better understand the process for multi-state acceptance for new drinking water treatment technologies.

• Cost-effective method(s) and models of sharing information about innovative water treatment technologies across multiple states.

Outcomes: Expected outcomes from the award under this RFA include:

• Reduced economic costs of deploying demonstrated innovative water technologies.

• Improved public health and reduced risks associated with deploying demonstrated innovative water technologies; and

• Streamlined approval processes for demonstrated innovative technologies that provide clean drinking water supplies with minimal environmental impact.

Collaboration and Engagement Plan Collaboration and cooperative partnerships are strongly encouraged in the design and execution of the proposed research. Therefore, applications must include a Collaboration and Engagement Plan. The Plan, at minimum, describes how: a) applicants will work in partnership with appropriate partners (e.g., states, tribes, academia, industry groups, non-profit organizations, associations, farmers, farmer cooperatives, manufacturers of water technologies, and local communities/community-based organizations) to effectively design and implement the proposed project; b) to the extent possible, how applicants will coordinate with and/or complement other projects or activities being performed by others that will result in a greater positive impact; and

c) demonstrate how the proposed project will address the needs and concerns of local communities including how community-based organizations (as defined below) and/or other appropriate parties will be engaged to enhance the project’s effectiveness and/or efficiency.

For the purpose of this announcement, a “community-based organization” generally means a nongovernmental organization that has demonstrated effectiveness as a representative of a community or a significant segment of a community and that helps members of that community obtain environmental, educational, or other social services. A community-based organization must be a nonprofit or not for profit corporation in good standing under state or tribal law with authority to enter into binding legal agreements. The community-based organization need not be tax exempt under the Internal Revenue Code but may use documentation of tax-exempt status to demonstrate that it is a nonprofit.

The Collaboration and Engagement Plan should:

• Describe the type of collaboration/support proposed and what role it will play in the overall project including the degree of partner and/or community input or engagement in the conceptualization, design, methods, analyses and implementation of the research.

• Describe how the collaboration will enhance the overall impact of the project such that the project results are applicable and useable by state/local agencies, utilities, and impacted communities. This includes the capacity of the project to more effectively communicate cost and performance information and translate scientific results into easily understandable outreach and education materials.

• Describe how activities of the project will be coordinated with related or complementary projects and studies.

• Describe how the collaboration will materialize during project performance. Describe the partner(s)’ intent to participate in the proposed research including evidence of support of an active partnership with states, tribes, academia, industry groups, non-profit organizations, associations, farmers, farmer cooperatives, manufacturers of water technologies, and/or local communities/community-based organizations (e.g., letter(s) of intent or support from community-based organizations, community leaders, state or local government agencies, non-government organizations, water utility managers, site managers or operators). Any letters demonstrating evidence of collaboration and support should be included as part of section IV.C.10.a. Letters of Intent/Letters of Support.

• Applicants that do not plan on collaborating with other groups in project performance must still include a Collaboration and Engagement Plan in their application describing how they will be able to effectively perform and complete the project without such collaboration. In addition, they need to address how their project results will be applicable and useable by state/local agencies, utilities, and impacted communities which includes the capacity of the project to more effectively communicate cost and performance information and translate scientific results into easily understandable outreach and education materials. They also need to describe how activities of the project will be coordinated with related or complementary projects and studies.

E. References

1. Adams, J., Wright, H., Lawryshyn, Y., Bircher, K., Brooks, T., Townsend, B. (2019).

Innovative Approaches for Validation [Conference Presentation]. Water Quality Technology Conference, Dallas, TX.

2. Ajami, N., Thompson, B. H., & Victor, D. G. (2014). The Path to Water Innovation. The Hamilton Project. https://www.brookings.edu/research/the-path-to-water-innovation/.

3. Desimone, L. A., Hamilton, P. A., & Gilliom, R. J. (2009). Quality of Water from Domestic Wells in Principal Aquifers of the United States, 1991-2004: Overview of Major Findings.

Circular, 1332. https://doi.org/10.3133/cir1332

4. GLUMRB, Great Lakes - Upper Mississippi River Board. (2014). Recommended Standards for Wastewater Facilities.

https://www.health.state.mn.us/communities/environment/water/docs/tenstates/wstewtrstnds2 014secured.pdf

5. IHS, Indian Health Service (2020). Division of Sanitation Facilities Construction.

https://www.ihs.gov/dsfc/

6. Ringenberg, D. T., Wilson, S. D., & Dvorak, B. I. (2017). State Barriers to Approval of Drinking Water Technologies for Small Systems. American Water Works Association, 109(8), E343–E352. https://doi.org/10.5942/jawwa.2017.109.0096.

7. Shih, J.-S., Harrington, W., Pizer, W. A., & Gillingham, K. (2006). Economies of scale in community water systems. American Water Works Association, 98(9), 100–108.

https://doi.org/10.1002/j.1551-8833.2006.tb07757.x

8. Speight, V. L. (2015). Innovation in the water industry: barriers and opportunities for US and UK utilities. WIRES Water. https://doi.org/10.1002/wat2.1082.

9. U.S. Census Bureau. (2017). American Housing Survey. https://www.census.gov/programs-surveys/ahs.html

10. USDA, U.S. Department of Agriculture (2020). Water and Environmental Programs: Rural Development. https://www.rd.usda.gov/programs-services/all-programs/water-environmental-programs

11. U.S. EPA. (1996). Release of Final Alternative Technology Approval Protocol.

https://nepis.epa.gov/Exe/ZyPURL.cgi?Dockey=P100NEW0.TXT.

12. U.S. EPA. (2006). Ultraviolet Disinfection Guidance Manual for the Final Long Term 2 Enhanced Surface Water Treatment Rule.

https://nepis.epa.gov/Exe/ZyPDF.cgi?Dockey=600006T3.txt

13. U.S. EPA. (2013). Environmental Technology Verification Program.

https://archive.epa.gov/nrmrl/archive-etv/web/pdf/p1002ccd.pdf

14. U.S. EPA. (2016a) Test/Quality Assurance Plans. https://archive.epa.gov/nrmrl/archive-etv/web/html/tqap.html#dws

15. U.S. EPA. (2016b). Arsenic Treatment Technology Demonstrations.

https://www.epa.gov/water-research/arsenic-treatment-technology-demonstrations.

16. U.S. EPA. (2016c). Long Term 2 Enhanced Surface Water Treatment Rule Documents.

https://www.epa.gov/dwreginfo/long-term-2-enhanced-surface-water-treatment-rule-documents

17. U.S. EPA. (2020a). Title XIV of The Public Health Service Act: Safety of Public Water Systems (Safe Drinking Water Act). https://www.epa.gov/sdwa/title-xiv-public-health-service-act-safety-public-water-systems-safe-drinking-water-act-0.

https://www.brookings.edu/research/the-path-to-water-innovation/ https://doi.org/10.3133/cir1332 https://www.health.state.mn.us/communities/environment/water/docs/tenstates/wstewtrstnds2014secured.pdf https://www.health.state.mn.us/communities/environment/water/docs/tenstates/wstewtrstnds2014secured.pdf https://www.ihs.gov/dsfc/ https://doi.org/10.5942/jawwa.2017.109.0096 https://doi.org/10.1002/j.1551-8833.2006.tb07757.x https://doi.org/10.1002/wat2.1082 https://www.census.gov/programs-surveys/ahs.html https://www.census.gov/programs-surveys/ahs.html https://www.rd.usda.gov/programs-services/all-programs/water-environmental-programs https://www.rd.usda.gov/programs-services/all-programs/water-environmental-programs https://nepis.epa.gov/Exe/ZyPURL.cgi?Dockey=P100NEW0.TXT https://nepis.epa.gov/Exe/ZyPDF.cgi?Dockey=600006T3.txt%20 https://archive.epa.gov/nrmrl/archive-etv/web/pdf/p1002ccd.pdf https://archive.epa.gov/nrmrl/archive-etv/web/html/tqap.html#dws https://archive.epa.gov/nrmrl/archive-etv/web/html/tqap.html#dws https://www.epa.gov/water-research/arsenic-treatment-technology-demonstrations https://www.epa.gov/dwreginfo/long-term-2-enhanced-surface-water-treatment-rule-documents https://www.epa.gov/dwreginfo/long-term-2-enhanced-surface-water-treatment-rule-documents https://www.epa.gov/sdwa/title-xiv-public-health-service-act-safety-public-water-systems-safe-drinking-water-act-0 https://www.epa.gov/sdwa/title-xiv-public-health-service-act-safety-public-water-systems-safe-drinking-water-act-0

18. U.S. EPA. (2020b). Drinking Water Technology. https://www.epa.gov/ground-water-and-drinking-water/drinking-water-technologies.

19. U.S. EPA. (2020c). Background on Drinking Water Standards in the Safe Drinking Water Act (SDWA). https://www.epa.gov/sdwa/background-drinking-water-standards-safe-drinking-water-act-sdwa

20. U.S. EPA. (2020d). Building the Capacity of Drinking Water Systems.

https://www.epa.gov/dwcapacity/learn-about-small-drinking-water-systems.

21. U.S. EPA. (2020e). Small Drinking Water System Initiative. Region 1: EPA New England.

https://www3.epa.gov/region1/eco/drinkwater/small_dw_initiative.html

22. U.S. EPA. (2020f). Private Drinking Water Wells. https://www.epa.gov/privatewells

23. U.S. EPA. (2020g). Drinking Water State Revolving Fund (DWSRF).

https://www.epa.gov/drinkingwatersrf.

24. U.S. EPA (2020h). Water Infrastructure Finance and Innovation Act (WIFIA).

https://www.epa.gov/wifia

25. U.S. Water Alliance. (2019). Closing the Water Access Gap in the United States: A National

Action Plan.

http://uswateralliance.org/sites/uswateralliance.org/files/publications/Closing%20the%20Wat er%20Access%20Gap%20in%20the%20United%20States_DIGITAL.pdf

F. Special Requirements It is EPA Policy to ensure that the results of EPA-funded extramural scientific research are accessible to the public to the greatest extent feasible consistent with applicable law; policies and Orders; the Agency’s mission; resource constraints; and U.S. national, homeland and economic security. This entails maximizing, at no charge, access by the public to peer-reviewed, scientific research journal publications or associated author manuscripts, and their underlying digital research data, created in whole or in part with EPA funds, while protecting personal privacy;

recognizing proprietary interests, confidential business information and intellectual property rights; and avoiding significant negative impact on intellectual property rights, innovation and U.S. competitiveness. EPA’s Policy for Increasing Access to Results of EPA-Funded Extramural Scientific Research may be accessed at: https://www.epa.gov/research/non-epa-researcher-requirements. Terms and conditions implementing this policy may be accessed at:

https://www.epa.gov/research/non-epa-researcher-requirements.

Applications submitted under this announcement shall include a Scientific Data Management Plan (SDMP) that addresses public access to EPA-funded scientific research data. See the SDMP clause in Section IV for details on the content of an SDMP. Applicants will also be asked to provide past performance information on whether journal publications or associated author manuscripts, and the associated underlying scientific research data and metadata, under prior assistance agreements were made publicly accessible. These items will be evaluated prior to award.

Reasonable, necessary and allocable costs for data management and public access as discussed in EPA’s Policy for Increasing Access to Results of EPA-Funded Extramural Scientific Research, may be included in extramural research applications and detailed in the budget justification described in Section IV.

https://www.epa.gov/ground-water-and-drinking-water/drinking-water-technologies https://www.epa.gov/ground-water-and-drinking-water/drinking-water-technologies https://www.epa.gov/sdwa/background-drinking-water-standards-safe-drinking-water-act-sdwa https://www.epa.gov/sdwa/background-drinking-water-standards-safe-drinking-water-act-sdwa https://www.epa.gov/dwcapacity/learn-about-small-drinking-water-systems https://www3.epa.gov/region1/eco/drinkwater/small_dw_initiative.html https://www.epa.gov/privatewells https://www.epa.gov/drinkingwatersrf https://www.epa.gov/wifia http://uswateralliance.org/sites/uswateralliance.org/files/publications/Closing%20the%20Water%20Access%20Gap%20in%20the%20United%20States_DIGITAL.pdf http://uswateralliance.org/sites/uswateralliance.org/files/publications/Closing%20the%20Water%20Access%20Gap%20in%20the%20United%20States_DIGITAL.pdf https://www.epa.gov/research/non-epa-researcher-requirements https://www.epa.gov/research/non-epa-researcher-requirements https://www.epa.gov/research/non-epa-researcher-requirements

Agency policy and ethical considerations prevent EPA technical staff and managers from providing applicants with information that may create an unfair competitive advantage.

Consequently, EPA employees will not review, comment, advise and/or provide technical assistance to applicants preparing applications in response to EPA RFAs. EPA employees cannot endorse any particular application.

Multiple Investigator applications may be submitted as: (1) a single Lead Principal Investigator (PI) application with Co-PI(s) or (2) a Multiple PI application…