Background Information: SMART About Water

Section 2 Background Information: SMART About Water SMART About Water Train-the-Trainer Seminar

Overview NESC Brief: the SMART About Water Program The National Environmental Services Center (NESC) at West Virginia University (WVU) and the Rural Community Assistance Partnership (RCAP) have joined in a project to conduct an 18-month integrated training and technical assistance program on developing plans for source water and wellhead protection for community and noncommunity water systems serving fewer than 3,300 people. The program is called SMART About Water, for Strategic Management and Available Resources and Technology. In line with being strategic, the primary emphasis will be on wastewater contamination, the largest potential contamination threat to drinking water sources for very small water systems. Small and very small drinking water systems have the fewest financial and human resources, they are the most expensive per connection to operate, and they account for the largest percentage of drinking water violations, especially in regard to microbial incidents.[1] The SMART About Water Program will assist system operators and local officials managing these small and very small drinking water systems through a national effort to develop source water and wellhead protection plans based on their state's source water assessments. The program will incorporate principles of social marketing to address local officials' wants, as well as their needs, to spur source water and wellhead protection planning activities. The SMART About Water Program is based on three pillar strategies: (1) Training; (2) Technical Assistance; and (3) Transfer of Results. Evaluation is built into all three strategies. SMART About Water will also offer information and assistance to refer clients to organizations and Web sites that specialize in other source water contaminants. Training and technical assistance programs developed under this project will also include elements that address contingency plans containing strategies for supplying safe drinking water in the event of contamination or disruption of services. This program is intended for audiences who have technical support, advisory, or public health responsibilities for small water systems. Regional training activities and technical assistance involving source water or wellhead protection planning will be coordinated with appropriate state and local agencies. Strategic Management and Available Resources and Technology SMART About Water 1

The program responds to Sub-objective 2.1.1 of the 2006-2011 EPA Strategic Plan Charting Our Course, namely that by 2011, 90 percent of small community water systems will provide drinking water that meets all applicable health-based drinking water standards, including effective treatment and source water protection. SMART About Water's goal is to reach 245 community water systems that serve fewer than 3,300 people. [2] Because of the tie to microbial incidents, a novel feature of the SMART About Water Program will be to help operators and state/local officials focus their limited resources on developing plans to address their greatest threat of potential source water contamination failing septic and sewer systems. [3] Program Goal and Objectives The primary goal of the SMART About Water Program is to stimulate voluntary planning activities among small and very small community water systems (CWS) and non-community water systems (NCWS), with a specific focus on the untreated wastewater from failing septic and sewer systems. Focusing on the greatest threat first will create a bias for action consistent with assessments conducted by the states. Objectives include: (1) building an understanding of the beneficial connection between effective wastewater treatment and source water/wellhead protection, (2) addressing operators' and local officials' lack of human and financial resources by facilitating partnerships with volunteer groups, and (3) preparing operators and local officials to develop contingency plans for supplying safe drinking water in the event of large scale contamination or disruption of services. To meet EPA's strategic objective, officials and/or operators from up to 245 systems will be recruited for training. Operators and officials from 18 to 24 selected systems from each of the six RCAP regions will be recruited for a special in-depth "early adopter or trailblazer" program that includes significant hands-on assistance with developing their plans. Training Workshop Design Committee (NOTE: This Design Committee Workshop was already conducted, April 28-29, 2008) A SMART training workshop design committee composed of experts with diverse knowledge and skills will be established to offer guidance to program officials. For example, committee members will be asked their opinion about operators' and local officials' wants as well as needs to motivate them to want to undertake source water protection planning. SMART training workshop committee members will be asked to comment about technical issues such as interpreting state source water assessments or identifying Best Available Technologies to treat wastewater. Members will also be asked to comment about non-technical issues such as Best Management Practices or how to facilitate community support. To avoid duplication, members who are familiar with training about source water protection will be asked their opinion about "best of class" training materials and concepts. Members will be asked about high priority audiences who influence community voluntary action, and the best methods for delivering training to such audiences ranging from formal to informal techniques. Members will also be asked to recommend candidate systems that would benefit most from participation in SMART. 2 SMART About Water NESC/RCAP

Many of these recommendations will be sought at a National Workshop of Design Committee Members to be held in late April or early May in the greater Washington D.C. area. Committee members will be sought from organizations such as the EPA Regions, EPA Office of Ground Water and Drinking Water, EPA Office of Wastewater Management, national Source Water Collaborative members, EPA Wastewater MOU partners, state source water protection coordinators, state onsite and decentralized wastewater regulators, National Modular Housing Council, National Association of Home Builders, Americorp or similar organizations, and operators/owners of small and very small water systems. The Three Strategies Strategy 1: Training Training will be delivered through a variety of formal and informal means. Social marketing strategies will be incorporated to promote "a totally voluntary approach to behavior change." [4] In the absence of state or local requirements to develop or implement wellhead or source water protection plans, service providers must deliver training programs that compel system operators and local officials to voluntarily undertake source water and wellhead protection planning and actions. Therefore the training component must be designed to be easy to attend, reinforce benefits for stakeholders, and appeal to participants' wants as well as their need to meet community expectations and need for water quality. NESC will coordinate overall development of training and conduct train-the-trainer activities. RCAP will then train the target audiences. Strategy 2: Technical Assistance Requests for technical assistance are expected to be an outcome of training. But SMART About Water will not rely solely on waiting for such requests. We will implement a Trailblazer program designed to provide up to 24 small and very small water systems in six states (three to four per state) with in-depth training and onsite technical assistance to develop source water/wellhead protection plans. Technical assistance will be offered in two formats: remotely and face-to-face. NESC will provide remote technical assistance; RCAP will provide face-to-face assistance, with a heavy emphasis on the Trailblazer program. Strategy 3: Transfer of Results Results of the SMART About Water Program will be made available through the Web, publications, and product distribution functions of NESC and RCAP in their respective roles. NESC will develop the SMART Web site and SMART content for NESC publications. NESC will also coordinate targeted national media campaigns. RCAP will promulgate content through their existing Web site and publications. During Strategic Management and Available Resources and Technology SMART About Water 3

the project performance period, products will be available at no cost to participating local officials and at low cost to third-party assistance providers. Limits on the number of free and low-cost products may be set due to budget constraints. Contacts EPA Project Officer: Steve Ainsworth, Office of Ground Water and Drinking Water, (202) 564-3873 Principals: Gerald Iwan, Ph.D., Director, National Environmental Services Center, (304) 293-4191 Robert Stewart, Executive Director for the Rural Community Assistance Partnership, (202) 408-1273 Coordinators: Sandra Fallon, Education and Training Services Manager, NESC, (304) 293-4191 Dave Clark, Director of Environmental Programs, RCAP, (202) 408-1273 [1] EPA 816-R-99-010--National Characteristics of Drinking Water Systems Serving Populations Under 10,000, July 1999; EPA 816-K-03-001--2005 Factoids, Dec. 2006. [2] This number represents 1% of the total CWS serving populations under 3,300, as counted by EPA. Assisting this number of communities is consistent with meeting subobjective 2.1.1. (EPA 816-K-03-001, 2005 Factoids, Dec. 2006). [3] EPA 816-R-99-010, p 3-7 to 3-8. [4] "Social Marketing Lite" William Smith, et al., p.21, at http://www.socialmarketingquarterly.com/whatis.htm. 4 SMART About Water NESC/RCAP

A Proposal submitted under National Priority Area 1: Training and Technical Assistance for Source Water and Wellhead Protection In Response to Funding Opportunity Number: EPA-OW-OGWDW-07-02 Training and Technical Assistance for Small and/or Rural Public Water Systems CFDA Number 66.424 Closing Date: August 22, 2007 Office of Ground Water and Drinking Water Office of Water U. S. Environmental Protection Agency By West Virginia University Research Corporation On behalf of West Virginia University, Morgantown, West Virginia 26506 In Partnership with Rural Community Assistance Partnership Proposal Title The SMART About Water Program Key Personnel and Contact Information Richard Bajura, Administrative Principal Investigator National Environmental Services Center West Virginia University Morgantown, WV 26506-6064 304-293-2867 Ext. 5401 Richard.Bajura@mail.wvu.edu David Clark, Administrative Co-Principal Investigator Rural Community Assistance Partnership 1522 K Street, NW, Suite 400 Washington, D. C. 2005 202-408-1273 Ext 109 dclark@rcap.org Total Project Cost: $3,003,000 Federal Dollars Requested: $3,000,000 Richard A. Bajura, Principal Investigator Date Alan B. Martin, Executive Secretary Date West Virginia University Research Corporation Printed on Recycled Paper The SMART About Water Program Proposal Page 1

Executive Summary The National Environmental Services Center (NESC) and the Rural Community Assistance Partnership (RCAP) have joined in this proposal to conduct an 18 month integrated training and technical assistance program on developing plans for source water and wellhead protection for small, very small and/or rural community water systems. This proposal addresses National Priority Area 1 of the Request for Proposals. Our primary emphasis will be on wastewater contamination, the largest potential contamination threat for these systems. We will also offer information and assistance to refer clients to organizations and web sites that specialize in other source water contaminants. Training and technical assistance programs developed under this project will also include elements that address contingency plans containing strategies for supplying safe drinking water in the event of contamination or disruption of services. Our theme is summarized by the acronym SMART Strategic Management and Available Resources and Technology. The SMART About Water Program is based on three pillar strategies: (1) Training; (2) Technical Assistance; and (3) Transfer of Results. This program is structured toward audiences of system operators, local and state officials and their personnel, oversight boards and regulators, and other stakeholders who have technical support, advisory, or public health responsibilities for these systems. Activities related to state source water assessments will be coordinated with appropriate state agencies. We will develop multi-modal training and assistance programs which can be used nationally by including modules that account for local and regional requirements and constraints. A series of face-to-face meeting programs will be conducted on a regional basis throughout the nation to demonstrate the applicability of the training and assistance packages. The results of this program will be available for further implementation through remote on-line and informational assistance technologies after the conclusion of the period of performance. The results of the SMART About Water project will assist EPA in meeting its 2011 goal of compliance with drinking water standards for 90% of small community water systems. The SMART About Water Program Proposal Page 2

The SMART About Water Program Introduction Small and very small drinking water systems have the fewest financial and human resources, they are the most expensive per connection to operate, and these systems account for the largest percentage of drinking water violations, especially in regard to microbial incidents. 1 The SMART About Water Program will assist system operators and local officials managing these small and very small drinking water systems through a national effort to develop source water and wellhead protection plans based on their state s source water assessments. Our program is designed to assess local officials wants, as well as their needs, and is therefore more likely to spur voluntary source water and wellhead protection activities. Our proposed approach responds to meeting the target in Sub-objective 2.1.1 of the 2006-2011 EPA Strategic Plan Charting Our Course, namely that by 2011, 90 percent of small community water systems will provide drinking water that meets all applicable health-based drinking water standards, including effective treatment and source water protection. SMART about Water s goal is to reach 245 community water systems (CWS) and non-community water systems (NCWS) that serve fewer than 3,300 people. 2 Because of the tie to microbial incidents, a novel feature of the SMART About Water Program will be to help operators and state / local officials focus their limited resources on developing plans to address their greatest threat of potential source water contamination -- failing septic and sewer systems. 3 Goals and Objectives The primary goal of the SMART About Water Program is to stimulate voluntary planning activities among small and very small CWS and NCWS, with a specific focus on the untreated wastewater from 1 EPA 816-R-99-010 -- National Characteristics of Drinking Water Systems Serving Populations Under 10,000, July 1999; EPA 816-K-03-001 -- 2005 Factoids, Dec. 2006. 2 This number represents 1% of the total CWS serving populations under 3,300, as counted by EPA. Assisting this number of communities is consistent with meeting sub-objective 2.1.1. (EPA 816-K-03-001, 2005 Factoids, Dec. 2006). 3 EPA 816-R-99-010, p 3-7 to 3-8. The SMART About Water Program Proposal Page 3

failing septic and sewer systems. Focusing on the greatest threat first will create a bias for action consistent with assessments conducted by the states. Objectives include: (1) building an understanding of the beneficial connection between effective wastewater treatment and source water/well head protection, (2) addressing operators and local officials lack of human and financial resources by facilitating partnerships with volunteer groups, and (3) preparing operators and local officials to develop contingency plans for supplying safe drinking water in the event of large scale contamination or disruption of services. To meet EPA s strategic objective, officials and/or operators from up to 245 systems will be recruited for training. Operators and officials from 18 to 24 selected systems will be recruited for a special in-depth early adopter program that includes significant hands-on assistance in developing their plans. Strategy 1: Training Training will be delivered through a variety of formal and informal means. Social marketing strategies will be incorporated to promote a totally voluntary approach to behavior change. 4 Since Congress did not mandate source water or wellhead protection in the Safe Drinking Water Act, service providers must deliver programs that compel local officials to voluntarily undertake source water and well head protection planning and actions in the absence of state or local regulations. Therefore the training component must be designed to be easy to attend, reinforce benefits for stakeholders, and appeal to participants needs to meet community expectations and needs for water quality. Work tasks to implement Strategy 1 are described below. A Milestone Chart summarizing all the tasks in our three strategies and management plan is summarized in Table 1 on Page 14. Content Identification: NESC and RCAP will assemble a team of SMART Advisors to participate in regional and national workshops to assess operators and local officials wants as well as needs. 5 The SMART Advisors Workshop will include sessions about applying social marketing concepts to training and 4 Social Marketing Lite William Smith, et al., p.21, at http://www.socialmarketingquarterly.com/whatis.htm. 5 NESC s State Onsite Regulators Alliance (SORA) / Captains of Industry (COI) project will be the model for this activity. Participants of SORA credit the Alliance with promoting positive changes in state regulations for wastewater treatment. The SMART About Water Program Proposal Page 4

technical assistance activities. SMART Advisors will address technical and non-technical issues. Technical issues may include education about interpreting state source water assessments or identifying Best Available Technologies to treat wastewater. Non-technical issues may include Best Management Practices or how to facilitate community support for wastewater treatment actions using instructional programs such as NESC s Tool for Communities. To avoid duplication, existing training materials will be identified. SMART Advisors will be sought from the EPA Regions, EPA Office of Ground Water and Drinking Water, EPA Office of Wastewater Management, EPA Source Water Collaborative members, EPA Wastewater MOU partners, state source water protection coordinators, state onsite and decentralized wastewater regulators, the National Association of County Officials, Municipal League, National Modular Housing Council, National Association of Home Builders, and operators/owners of small and very small water systems. Advisors will recommend candidate systems that would benefit most from participation. Task Anticipated Outcomes / Outcomes Advisory committee formation, workshops developed and conducted, training criteria identified, existing relevant training tools identified, specific audience identified, recruitment strategy determined Increased understanding among advisors about wants versus needs as a means for promoting change Content Development: Using the training criteria, NESC will cull existing materials, repackage these materials as needed, and develop new training components to fill gaps. Special attention will be paid to both content and delivery venue. For example, training workshops may be offered at statelevel association meetings attended by the target audiences. Or training may consist of reaching operators and local officials by presenting workshops at meetings of popular community-based groups. Task Anticipated Outcomes / Outcomes Literature searched against criteria, items collected/repackaged, new materials developed as needed, completion of a training recruitment list An increased sensitivity on the part of training designers with regard to applying social marketing concepts to curriculum design The SMART About Water Program Proposal Page 5

Training Delivery: Delivery of training will follow the path: (1) NESC staff train RCAP trainers; (2) RCAP trainers train RCAP field staff; (3) RCAP field staff train operators and local officials. NESC s National Environmental Training Center for Small Communities will conduct a training institute for RCAP staff. We will also accept assistance providers from other organizations to attend at their cost. RCAP trainers will then train RCAP field staff as a regular part of RCAP in-service training. These field staff will in turn offer training to operators and local officials. NESC s National Environmental Training Center will offer up to four web casts featuring nationally recognized experts to supplement field training. Special attention will be paid to reaching officials at state and regional venues they already attend and in formats sensitive to the competing demands for their limited time. We will also co-sponsor training tracks at up to two nationallevel conferences which reach the greatest number of targeted local officials of CWS and NCWS. Task Anticipated Outcomes / Outcomes Training institute, two web casts, co-sponsorships at national events, and up to 100 training sessions to cover 245 drinking water systems Heightened awareness of local officials and understanding of their state source water assessments, knowledge about how to conduct planning and obtain community support, understanding about the connection between source water protection and wastewater treatment, awareness of information resources available to officials, awareness of volunteer organizations that can provide assistance, and increased calls for technical assistance received by NESC and RCAP. Strategy 2: Technical Assistance Requests for technical assistance are expected to be an outcome of training. But SMART About Water will not rely solely on waiting for such requests. We will implement a Trailblazer program designed to provide up to 24 small and very small water systems in six states (three to four per state) with in-depth training and onsite technical assistance to develop source water/wellhead protection plans. Technical assistance will be offered in two formats: remotely and face-to-face. Tasks are described below. Remote Technical Assistance: NESC will be a one-stop shop for SMART About Water remote technical assistance where users such as operators, service providers, and officials can contact The SMART About Water Program Proposal Page 6

knowledgeable staff and work interactively with experts to address their needs. Assistance will be provided through NESC s recognized National Small Flows Clearinghouse (NSFC) and National Drinking Water Clearinghouse (NDWC). Each clearinghouse will review its existing databases specifically for source water protection resources. Additional references will be sought and evaluated for inclusion in the databases. Two additional databases will be sought or developed: (1) a regulatory and non-regulatory source water protection strategies database, and (2) a facilitators database. 6 Existing databases include: (A) NDWC s Drinking Water Literature Database; (B) the Registry of Equipment Suppliers of Treatment Technologies for Small Systems (RESULTS) database which contains information about successful drinking water technologies from more than 1,000 sites encompassing all 50 states; (C) NSFC s Wastewater Regulations Database with data for 48 states; (D) the Bibliographic Database; (E) the Manufacturers and Consultants Database; (F) the Facilities Database which holds information about approximately 1,000 facilities; and (G) the Contacts and Referrals Database. In addition, NESC s Products database includes more than 3,000 references for drinking water and wastewater systems in small communities. [See NESC s website www.nesc.wvu.edu]. NESC will add a SMART About Water section to its website for 24/7 assistance. The section will feature helpful resources, program updates, and referral information to organizations and sites that offer assistance about other source water contaminants such as EPA s source water website: http://cfpub.epa.gov/safewater/sourcewater/. Clients may also use NESC s toll free assistance hotline (1-800-624-8301) for personal assistance from NESC s trained technical assistance specialists, engineers, and scientists. NESC will also offer online 6 According to the EPA Office of the Inspector General, Several utilities and local officials acknowledged that they could not have proceeded toward their protection program without an outside facilitator assisting them. (Evaluation Report: Source Water Assessment and Protection Programs Show Initial Promise, But Obstacles Remain; Report No. 2005-P-00013, March 28, 2005). The SMART About Water Program Proposal Page 7

discussion groups for peer-to-peer assistance on source water protection planning, moderated by a certified water system operator on the NESC staff. Task Anticipated Outcomes / Outcomes Review of databases, launch discussion list, packaged searches, web site development and implementation, ongoing additions to web site and site maintenance. Heightened awareness leading to development of source water and well head protection plans that focus on wastewater treatment. Face-to-Face Technical Assistance: RCAP field staff will provide face-to-face assistance in all 50 states. The RCAP network includes field-based staff and delegate agencies working at the community level in all 50 states and Puerto Rico, six regional offices with multi-state service areas and a national office located in Washington D.C. RCAP's work emphasizes leadership development, public education, and direct community participation and involvement. Among RCAP's national programs are ones that focus on source water protection and watershed assessment, safe and affordable drinking water, and safeguarding water and wastewater systems. Under the SMART About Water Program s Trailblazer activity, and with the assistance of state source water coordinators, RCAP regional leaders will identify three to four communities in one state in each of RCAP s six regions for targeted, hands-on assistance in developing source water protection plans. The plans will emphasize wastewater as the target contaminant, consistent with RCAP s belief that one success inspires communities to take on larger and more complex challenges and leads to success in other areas. From 18 to 24 CWS and NCWS will be recruited as Trailblazers for SMART About Water technical assistance. Progress made by these systems -- from understanding of state assessments through the development of source water protection plans focusing on wastewater -- will be tracked and reported quarterly. RCAP will assist local officials to find the necessary human and financial resources to accomplish the planning tasks. For example, watershed organizations will be approached to provide the human capital needed to address a primary barrier faced by operators and officials in undertaking any voluntary effort. The SMART About Water Program Proposal Page 8

Task Anticipated Outcomes / Outcomes Technical assistance to the states, 18-24 CWS and NCWS actively engaged in planning efforts Small and very small drinking water systems forming new partnerships to tackle protection of their water sources, continued improvement in water quality after the period of performance of this award as a benefit from states implementing the information provided under SMART, increased knowledge and skill of operators based on technical assistance intervention. Strategy 3: Transfer of Results Results of the SMART About Water Program will be made available through the web, publications, and product distribution functions of NESC and RCAP in their respective roles. Tasks are described below. Website: Lessons learned from the 18-24 communities in the Trailblazer activity will be documented through case studies and reported on the website hosted by NESC. The site will also provide access to an online discussion forum, databases, and referral to third-party sources for water protection assistance. Task Anticipated Outcomes / Outcomes Site development and deployment, site maintenance Access on a 24/7 basis to information about source water and wellhead protection planning and available resources. NESC/RCAP Outreach and Publications: SMART Advisors will submit source water protection articles for three issues of the NESC s Small Flows magazine which addresses wastewater topics and for three issues of the Pipeline newsletter targeted to local officials and citizens. Two issues of NDWC s On Tap and RCAP s Rural Matters will feature stories on source water protection planning. Trailblazer water systems case studies will be analyzed and described. NESC s publications reach an estimated 145,000 readers. RCAP s magazine reaches more than 7,500 subscribers. The articles will also appear on the website. NESC will repackage and submit magazine articles specifically for other publications read by the The SMART About Water Program Proposal Page 9

target audiences. Also, NESC will represent SMART About Water at regional or national events attended by system operators and/or local officials. Task Anticipated Outcomes / Outcomes Three issues (each) of Small Flows and Pipeline, features in two issues (each) of On Tap and Rural Matters, up to 12 articles repackaged for use in publications of other information sources, articles on the SMART About Water section of the NESC website. Increased prestige of local officials and operators featured in the communications, increased calls for remote and face-to-face technical assistance, increased training registrations, and heightened awareness among operators and local officials about the benefits of planning and resources available for assistance. Product Distribution: Another avenue for transferring the results of this program will be through NESC s product distribution center. NESC will collect, catalog, and offer at low or no-cost SMART About Water informational products including curricula, articles, and how-to guides developed as part of the program, as well as third-party products related to small community source water protection planning. For nearly 30 years, NESC has provided this product distribution function to the nation s small communities and now counts more than 3,000 product resources. NESC s clearinghouses, which include third-party materials, is unique in the industry. During the performance period, products will be offered at no cost to participating local officials and at low cost to third-party assistance providers. Limits on the number of free products per participant may be set as a budgetary control. Task Anticipated Outcomes / Outcomes Review and repackaging (as needed) of NESC holdings pertinent to this project, collection and review of up to 25 new products per quarter, development and updating of online catalog and product ordering Increased use of information by officials and other stakeholders Program Management and Evaluation WVURC / NESC will be the prime grantee for coordinating the overall program and national-level activities, with Richard Bajura serving as administrative principal investigator. NESC Unit Leaders will be The SMART About Water Program Proposal Page 10

co-investigators charged with various task assignments. RCAP will be funded as a subawardee to WVURC and will coordinate field work in all 50 states through its six partnership regions, with David Clark serving as the administrative principal investigator from RCAP. NESC will use program funds to support the WVU Department of Public Administration to develop assessment tools and to conduct pre and post evaluations to assess the effectiveness of the strategies and tools developed under the SMART About Water Program in meeting EPA goals. Assessment activities may include follow-up phone calls and analysis of NESC and RCAP quarterly reports. Quarterly phone conferences will be conducted to ensure coordination of effort between key personnel in both organizations and EPA. Task Anticipated Outcomes / Outcomes Coordination meetings between WVU, RCAP, and EPA, evaluation instrument development and assessment of program effectiveness, formal reporting to EPA as required by project award, communications with EPA regarding program on a continuing basis. Successful completion of project, measurable results of outputs / outcomes, sharing of information with other assistance providers, attainment of EPA s 90% goal. Experience of Partners Both NESC and RCAP have a long history of working in the area of source water protection through their respective existing programs and through programmatic interactions between the two organizations. Since 1979, the National Small Flows Clearinghouse has provided information to communities that treat fewer than one million gallons of wastewater per day. The National Drinking Water Clearinghouse, established 1991, helps small and rural communities to improve their drinking water by offering easy-to-read technical, regulatory, financial, operation and maintenance, and management information. The National Environmental Training Center for Small Communities, also established in 1991, helps small communities to improve their public health and environmental conditions by providing training, information, and referral services in the areas of wastewater and drinking water. NESC is staffed by The SMART About Water Program Proposal Page 11

scientists and engineers who themselves hold certifications in small wastewater and drinking water system operation. For 30 years, RCAP has operated as a national service delivery network of six regional partners with a national office in Washington, D.C. RCAP welcomes all those who need assistance, independent of any sort of membership status. Every year, nearly 200 RCAP specialists provide technical assistance, training, and financial resources to more than 2,000 small rural communities in all 50 states, Puerto Rico, and the U.S. Virgin Islands. Both organizations have developed a large number of contacts and users of their services since each organization has been able to provide assistance at minimal or no cost by virtue of their funding support from agencies such as EPA. NESC and RCAP will be able to continue working with their stakeholder base under the funding requested in the present project. Relevant previous awards to each organization are summarized below. Other Federal and Non-Federal Assistance NESC Awards * National Small Flows Clearinghouse (NSFC), USEPA Grant #X83251801; $3,000,000; 10/01/05 to 9/30/08; Project Officer: William Hasselkus, Hasselkus.William@epa.gov, (202) 564-0664; reports on time * National Environmental Training Center for Small Communities; USEPA, Grant # X83176801 10-1-04 to 9-30- 06, extended to 9/30/07; $1,000,000; Project Officer: William Hasselkus, Hasselkus.William@epa.gov, (202) 564-0664; reports on time * National Drinking Water Clearinghouse; USDA/Rural Development/RUS Grant No. 19; $1,062,000; 10/1/2006-9/30/2007; Project Officer: Steve Saulnier, (202) 690-2526, Stephen.Saulnier@wdc.usda.gov; reports on time RCAP Awards * EPA Dinking Water Technical Assistance Training, 10/1/06-9/30/07, extended to 1/31/08; $1,724,200; Project Officer: Nhien Phan, (202) 564-1726, phannhien@epa.gov; reports on time * EPA Small Community Wastewater Project, 9/1/05-8/31/08; $3,658,700; Project Officer: Stephen Hogye, (202)564-0631; reports on time * OCS Community Services Block Grant/Rural Community Development Activities/Homeland Security Program: Water & Wastewater Treatment Systems Safety & Security Training & Technical Assistance Project 90EF0066; Grants Manager: Barbara Ziegler-Johnson, (202) 441-4646, bsieglerjohns1@acf.hhs.gov, Grant Contact: Monique Witherspoon, monique.witherspoon@afc.hhs.gov; reports on time The SMART About Water Program Proposal Page 12

Budget Narrative The project as proposed will require federal funding of $3 million to complete. SF-424A in Appendix D shows estimates for each activity within each strategy or objective, including third-party evaluation. Appendix D also provides requested budget detail for tasks in each objective and a personnel breakdown with fringe benefits explanation. Personnel: Key personnel are identified in Appendix A (NESC) and Appendix B (RCAP). NESC offers University-based engineering and training expertise. RCAP s extensive field representatives offer unparalleled outreach at the local level with no membership fee requirement. Supplies: This category includes software and equipment for website and webcasting; paper, ink, CDs, DVDs, and similar materials to meet office and product distribution needs, and reference materials. Contractual: Additional training expertise and social marketing services and national workshop locations will be sought through competitive bids at an estimated cost of $59,500. Event co-sponsorships will include recognition of EPA under the agreement with NESC and RCAP. Travel: Funds are requested to support travel and per diem expenses for SMART Advisors who are otherwise expected to contribute their time to the program. As part of outreach, NESC will represent the program at one national or regional meeting per quarter. Other Expenses: RCAP is the subawardee partner in the program and will be funded at a level of $1.31 million by a subgrant from WVURC. A letter of commitment to the program from RCAP is included as Appendix C. Other funds are allocated for: printing and postage for three magazines, three newsletters, workshop materials, recruitment/advertising materials, product distribution, toll-free and regular phone service including voicemail, webcast software license, and phone conference services. Additive Form Program Income: Training may be offered to other assistance providers at their cost; we request the additive form of program income (~ $3000) for expenses to further eligible project objectives. The SMART About Water Program Proposal Page 13

The SMART About Water Program Proposal Page 14

7/28/08 SMART About Water Goal, Objectives,, and Anticipated Outcomes as Stated in SMART About Water Proposal Goal 1: Stimulate voluntary planning activities among small and very small community water systems (CWS) and non-community water systems (NCWS) with a specific focus on untreated wastewater from failing septic and sewer systems Objectives 1: Build an understanding of the beneficial connection between effective wastewater treatment and source water/wellhead protection 2: Address operators and local officials lack of human and financial resources by facilitating partnerships with volunteer groups 3: Prepare operators and local officials to develop contingency plans for supplying safe drinking water in the event of large-scale contamination or disruption of services Strategy 1: Training 1.1 Content Identification 1: Form advisory committee 2: Develop and conduct workshops 3: Identify training criteria 4: Identify existing relevant training tools 5: Identify specific audiences 6: Determine recruitment strategy Anticipated Outcomes 1: Increased understanding among advisors about wants versus needs as a means for promoting change 1.2 Content Development 1: Search literature against criteria 2: Collect and repackage items 3: Develop new materials as needed 4: Complete a training recruitment list Anticipated Outcomes 1: Increased sensitivity on part of training designers with regard to applying social marketing concepts to curriculum design 1.3 Training Delivery 1: Training Institute (NESC offers for RCAP staff) 1

7/28/08 2: Two Webcasts 3: Up to two co-sponsorships at national events 4: Up to 100 training sessions to cover 245 drinking water systems Anticipated Outcomes 1: Heightened awareness of local officials and understanding of their state source water assessments 2: Knowledge about how to conduct planning and obtain community support 3: Understanding the connection between source water protection and wastewater treatment 4: Awareness of information resources available to officials 5: Awareness of volunteer organizations that can provide assistance 6: Increased calls for technical assistance received by NESC and RCAP Strategy 2: Technical Assistance 2.1 Remote Technical Assistance 1: Review databases 2: Launch discussion list 3: Prepare packaged searches 4: Develop and implement Web site 5: Ongoing additions to Web site and site maintenance Anticipated Outcomes 1: Heightened awareness leading to development of source water and wellhead protection plans that focus on wastewater treatment 2.2 Face-to-Face Technical Assistance 1: Technical assistance to the states 2: 18-24 CWS and NCWS actively engaged in planning efforts Anticipated Outcomes 1: Small and very small drinking water systems forming new partnerships to tackle protection of their water sources 2: Continued improvement in water quality after the period of performance of this award as a benefit from states implementing the information provided under SMART 3: Increased knowledge and skill of operators based on technical assistance intervention Strategy 3: Transfer of Results 3.1 Web site 1: Web site development and deployment 2: Web site maintenance Anticipated Outcomes: 1: Access on a 24/7 basis to information about source water and wellhead protection planning and available resources 2

7/28/08 3.2 NESC/RCAP Outreach and Publications 1: Publish three issues of Small Flows 2: Publish three issues of Pipeline 3: Publish features in two issues of On Tap 4: Publish features in two issues of Rural Matters 5: Repackage up to 12 articles for use in publications of other information sources 6: Post articles on the SMART About Water section of NESC Web site Anticipated Outcomes 1: Increased prestige of local officials and operators featured in the communications 2: Increased calls for remote and face-to-face technical assistance 3: Increased training registrations 4: Heightened awareness among operators and local officials about the benefits of planning and resources available for assistance 3.3 Product Distribution 1: Review and repackaging (as needed) of NESC holdings pertinent to this project 2: Collect and review up to 25 new products per quarter 3: Develop and update online catalog and product ordering Anticipated Outcomes 1: Increased use of information by officials and other stakeholders 4: Program Management and Evaluation 4.1 Program Management 1: Coordinate meetings between WVU, RCAP, and EPA 4.2 Program Assessment 1: Develop evaluation instrument and assess program effectiveness 4.3 Reporting 3: Formal reporting to EPA as required by project award 4: Communications with EPA regarding program on a continuing bases Anticipated Outcomes 1: Successful completion of project 2: Measurable results of outputs/outcomes 3: Sharing of information with other assistance providers 2: Attainment of EPA s 90% goal (2011 goal of compliance with drinking water standards for 90% of small community water systems) 3

SMART About Water RCAP Statement of Work Task 1: Training 1.1 Content Identification o Help identify national advisory committee members who are stakeholders in source water protection planning (SWPP)/wellhead protection planning (WHPP) o Help plan national workshop agenda and lead sessions as appropriate (see 2.2 for regional workshops associated with the Trailblazer program) o Help identify advisory committee members who can offer guidance with regard to regional needs o Provide input to identify trainer and target audience training and resource needs leading to a list of s/k/a to be developed, resource needs, existing materials (e.g. a list of existing curriculum/resources/tools about SWPP/WHPP used by RCAP), new materials if needed o Provide suggestions for best methods to work with RCAP trainers and meet audience needs/wants for source water protection planning o Provide suggestions for best methods to recruit target audiences 1.2 Content Development o Provide subject-matter-experts to provide input and review to material development o Pilot test curricula, tools, materials in train-the-trainer sessions (e.g. at the Trainthe-Trainer Seminar) and in early training sessions with communities and provide recommendations for improvements 1.3 Training Delivery o Help complete the training recruitment list of targeted audience participants for the 100 trainings o Participate in Train-the-Trainer Seminar about SWPP/WHPP As trainers being trained (in the RCAP portion of budget) As trainers training other trainers as appropriate (in the NESC portion of the budget) o Provide feedback, verbally (e.g. in an interview) or in writing (e.g. in an evaluation form) as appropriate, to NESC about training materials presented at the Train-the-Trainer Seminar o Help identify webcast s target audience and content, based on fieldwork and lessons learned; assist with promotion of webcasts; facilitate group downlink sites as appropriate o RCAP Staff across the country will provide approximately 100 trainings to reach up to 245 drinking water systems (e.g. operators, board members, and community members at large) about SWPP/WHPP with attention to delivering training at state or regional association meetings or popular community-based group 1

meetings; RCAP staff will use standard protocols developed under SMART for individual training session evaluation; provide feedback using RCAP standard reporting procedures including quantity of NESC clearinghouse products distributed Task 2: Technical Assistance 2.1 Remote Technical Assistance o Provide a list of RCAP subject matter experts to whom callers/web viewers may be referred for assistance o Provide a list of RCAP facilitators who could provide services (which would be at additional cost to the requestor/customer) o As an option, submit to NESC SWPP/WHPP materials that RCAP staff may collect in their normal course of business (e.g. can be submitted as part of quarterly report) for NESC s databases/clearinghouse collection 2.2 Face-to-Face Technical Assistance o RCAP will provide individual, intense, onsite technical assistance to 18 to 21 community systems approximately 3 or 4 per state for 6 states, one in each RCAP region o RCAP will consult state source water coordinators to identify specific communities o RCAP will provide hands-on assistance in developing source water plans, emphasizing wastewater as the target contaminant, and in accordance with state source water coordinators protection strategies o Report progress quarterly using standard RCAP reporting system o RCAP will assist local officials to find the necessary human and financial resources to accomplish the planning tasks o RCAP will work with NESC and selected community members from the 18 to 21 communities to identify lessons learned, which will then be documented as case studies and reported on NESC Web site; RCAP will assist NESC in developing a standard, systematic case study format Task 3: Transfer of Results 3.2 NESC/RCAP Outreach and Publications o RCAP will reprint NESC SWPP/WHPP articles in two issues of Rural Matters - RCAP s national magazine published quarterly, and in the ebulletin - RCAP s webzine o RCAP will include a link to the SMART About Water website from the RCAP Web site 2

Task 4: Program Management and Evaluation 4.1 Development of Evaluation Instruments o RCAP will assist NESC in identifying measures for evaluating outputs and outcomes and will collect data accordingly 4.3 Reporting o RCAP will provide quarterly reports to NESC using standard RCAP reporting techniques consistent with EPA sponsor requests o Participate in monthly meetings in person or by phone with NESC and in monthly meetings in person or by phone with EPA sponsor o Participant in ad hoc meetings as appropriate to discuss details of SMART About Water program 3

ASDWA Letter to State Source Water Coordinators May 8, 2008 Dear ASDWA Members and State Source Water Coordinators: Following is pertinent information regarding state involvement in the new SMART About (Source) Water - Small System Training Program State drinking water and source water protection programs should expect to be contacted, if you haven t been already, by your local Rural Community Assistance Partnership (RCAP) affiliate about the new Strategic Management and Available Resources and Technology (SMART) About Water" Program. This program is being directed by the West Virginia University - National Environmental Services Center (WVU NESC) and RCAP, and is being funded by a grant from EPA's Office of Ground Water and Drinking Water (OGWDW). SMART About Water is an 18-month program that is expected to provide training for officials and/or operators from up to 245 small water and wastewater systems serving fewer than 3,300 people. Additional in-depth training and onsite technical assistance will be provided for up to 24 small and very small water systems in six states (three to four per state) to help them develop source water and wellhead protection planning activities with an emphasis on addressing wastewater contamination. These plans and strategies will be based on the information in the source water assessments. It will be important for you to work with RCAP to ensure that state guidelines for developing source water or wellhead protection plans, or criteria for approving these plans, is included in the SMART training. Source water coordinators will also want to help RCAP direct technical assistance efforts toward priority areas and water systems in your state. NESC and RCAP have already engaged a number of states to help guide the overall program efforts. ASDWA and GWPC worked with NESC and EPA to recruit state members for the SMART program steering committee from New Hampshire, New York, North Carolina, Ohio, Nevada, Louisiana, Illinois, Utah, Montana, and Oregon. Five of these states (NH, NY, NC, OH, and NV) attended the kickoff meeting in Alexandria, VA last week on April 29-30. Also in attendance were representatives from a variety of affiliations including: WVU NESC (and its new Director Jerry Iwan ASDWA s recent former Connecticut State Drinking Water Administrator); RCAP; water utilities; small towns; ASDWA, NRWA, a septic pumper association; and EPA s OGWDW and Office of Wastewater Management. For more information, please see the attached NESC Brief that describes the program in more detail, go to the new web site at http://www.nesc.wvu.edu/smart/, or contact Trina Wafle of NESC at tkwafle@mail.wvu.edu or 304-293-2867. Thanks ****************************************** Deirdre Mason, Project Coordinator Association of State Drinking Water Administrators 1401 Wilson Blvd., Suite 1225 Arlington, VA 22209 Phone: 703-812-4775 Email: dmason@asdwa.org ******************************************