APPENDIXES



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Confronting the Nation’s Water Problems: The Role of Research APPENDIXES

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Confronting the Nation’s Water Problems: The Role of Research Appendix A Modified FCCSET Water Resources Research Categories All of these categories apply to the in-house work of the agencies as well as what the agencies fund externally. I. NATURE OF WATER Category I deals with fundamental research on the water substance. Properties of water—Study of the physical and chemical properties of pure water and its thermodynamic behavior in its various states. Aqueous solutions and suspensions—Study of the effects on the properties of water of various solutes, surface interactions, colloidal suspensions, etc. II. WATER CYCLE Category II covers research of a basic nature on the natural processes involving water. It is an essential supporting effort to applied problems in later categories. Routine sampling and data collection are excluded. General—Studies involving two or more phases of the water cycle such as hydrologic models, rainfall-runoff relations, surface water and groundwater relationships, watershed studies, etc. Note: This subcategory generally includes research activities at the subcontinental scale or smaller. Water cycle studies on a global scale should be included under II-M.

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Confronting the Nation’s Water Problems: The Role of Research Precipitation—Investigation of spatial and temporal variations of precipitation, physiographic effects, time trends, extremes, probable maximum precipitation, structure of storms, etc. Research on temporal variation in precipitation at decadal and longer scales and the influence of ocean processes in driving this variability would also be in this subcategory. This subcategory also includes studies of how changes in land use/land cover affect precipitation. Snow, ice, and frost—Studies of the occurrence and thermodynamics of water in the solid state in nature, on spatial variations of snow and frost, on formation of ice and frost, on breakup of river and lake ice, on glaciers and permafrost, on the theory and use of satellites for monitoring snow cover, etc. Evaporation and transpiration—Investigation of evaporation from lakes, soil, and snow and of transpiration in plants; methods for estimating actual evapotranspiration; and energy balances. Research on new space approaches for monitoring atmospheric fluxes of water vapor with particular emphasis on evaporation and transpiration would be included. Streamflow and runoff—Study of the mechanics of flow in streams and overland flow; flood routing; bank storage; space and time variations (includes high- and low-flow frequency); droughts; and floods. Note: Studies dealing primarily with the natural chemical or biological aspects of streams should be incorporated in II-K and XI-A, respectively. Studies concerned with contamination of streams should be included in V-B. Groundwater—Study of the mechanics of groundwater movement; multiphase systems; sources of natural recharge; mechanics of flow to wells and drains; subsidence and other properties of aquifers; etc. Note: Studies dealing primarily with the natural chemical or biological aspects of groundwater should be incorporated in II-K and XI-A, respectively. Studies concerned with the fate and transport of pollutants in groundwater should be included in V-B. Water in soils—Studies of infiltration, movement, and storage of water in the zone of aeration, including soil. This section should include new technologies that are evolving for monitoring soil moisture, for example using space-based platforms. Lakes—Study of the hydrologic, hydrochemical, and thermal regimes of lakes; water level fluctuations; currents and waves. This section should include information on the natural physical and chemical processes that

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Confronting the Nation’s Water Problems: The Role of Research affect lake-water chemistry. Note: Studies dealing primarily with biological aspects of lakes should be in XI-A, while those involved with the fate and transport of contaminants in lake systems should be considered in V-B. Water and plants—Understanding the role of plants (including crops) in the hydrologic cycle; water requirements of plants; interception. Note: Studies of water conservation by using more water-efficient plants in agriculture should be in III-F, while studies on controlling the growth on phreatophytes should be in III-B. Erosion and sedimentation—Studies of stream geomorphology; the erosion process; prediction of sediment yield; sedimentation in lakes and reservoirs; stream erosion (aggradation and degradation); sediment transport; sheet and rill erosion from farm, forest, range, and other land uses; relationship between urbanization and sedimentation; etc. Chemical processes—Understanding chemical interactions between water and its natural environment; chemistry of precipitation. Include both surface water and groundwater studies. Estuaries—Studies dealing with physical/chemical processes and special problems of the estuarine environment, including the effect of tides on flow and stage, deposition of sediments, and seawater intrusion in estuaries. Note: Studies dealing primarily with biological aspects of estuaries should be incorporated in XI-A. Studies involved with the fate and transport of contaminants in estuaries should be considered in V-B. Global water cycle problems—Studies by U.S. researchers on global water cycle problems (including those brought about by climate change) that influence water resources in the United States. Examples might include estimates of river discharges to oceans on a worldwide basis, and effect of man-made impoundments or land-use changes on the global water cycle. Note: Studies that focus primarily on the effects of climate change on aquatic ecosystems should be reported in XI-C. III. WATER SUPPLY AUGMENTATION AND CONSERVATION As water use increases we must pay increasing attention to methods for augmenting and conserving available supplies. Category III is largely applied research devoted to this problem area. Note: There is overlap with other categories. For example, pollution control and treating impaired waters for reuse (V) may serve to augment available supplies. Better planning and management of water resources (VI) and improved engineering works (VIII) may also have the effect of increasing the utility of water resources. Only if the primary goal of the project is to

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Confronting the Nation’s Water Problems: The Role of Research augment supplies should it be classified in III. If the primary objective is to control flow, it should go under IV. Saline water conversion—Research and development related to methods of desalting seawater and brackish water. Water yield improvement—This subcategory embraces research on a variety of techniques to recover some part of the water returned to the atmosphere by evaporation or transpiration or other losses. This includes studies on increasing streamflow or improving its distribution through land management; determining hydrologic response to artificially induced rainfall; water harvesting from impervious areas; phreatophyte control; reservoir evaporation suppression. Use of water of impaired quality—Research on using water of impaired quality. This includes, for example, understanding the agricultural use of water of high salinity (and issues of crop tolerance to salinity), the use of poor-quality water in industry, and the use of “gray” water by municipalities. Note: Treatment of impaired waters for subsequent reuse as a higher-quality source is considered in V-D. Conservation in domestic and municipal use—Developing methods for reducing domestic water needs without impairment of service; demand management. (This does not include temporary water restrictions imposed during droughts.) Conservation in industrial use—Developing methods for reduction in both consumption and diversion requirements for industry. Conservation in agricultural use—Studies on more efficient irrigation practices, including chemical control of evaporation and transpiration; development of lower-water-use plants and crops; methods of applying irrigation and timing issues; methods for control of deep seepage; etc. IV. WATER QUANTITY MANAGEMENT AND CONTROL Category IV includes research directed to the management of water, exclusive of conservation, and the effects of related activities on water quantity. Routine sampling and data collection are excluded. Note: The choice between II and IV is dependent on whether the research is directed toward understanding basic processes (II) or evaluating man’s control efforts (IV). Also, it is recognized that water quantity management and control (IV) can result in changes in water quality.

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Confronting the Nation’s Water Problems: The Role of Research Control of water on the surface—Study of the effects of land management on runoff (e.g., reshaping of the land surface by terraces, constructed wetlands, and other structures and by extending the role of vegetation in influencing runoff); land drainage; seepage control; effect of control programs and devices on the stage and time distribution of streams, lakes, and estuaries; control of noxious weeds and objectionable plant growth in surface channels. Groundwater management—Study of artificial recharge of groundwater aquifers, conjunctive operation, and their relation to irrigation. Note: Research in this subcategory is supported by, but should be differentiated from, more general research on groundwater (II-F), chemical processes (II-K), and reclaimed wastewater (V-D) (which may be a useful source for groundwater recharge). Effects on water of man’s non-water activities—Understanding the impact of urbanization, transportation systems, logging, grazing, mining, traditional agriculture, etc., on water yields and flow rates (that is, the quantity and time distribution of water). Note: This subcategory is different from IV-A because it focuses on basic understanding of effects, not on management actions. Watershed activities—This subcategory refers narrowly to methods of controlling erosion to reduce sediment load of streams and to conserve soil. Note: The broader connotation of watershed protection that includes research on structural management measures (BMPs) that may protect water resources from detrimental changes in water quantity and quality is found in IV-A and V-G, respectively. V. WATER QUALITY MANAGEMENT AND PROTECTION Increasing quantities of municipal, industrial, agricultural, and other wastes containing physical, chemical, and biological pollutants are entering surface waters and groundwater. Category V deals with methods of identifying, describing, and controlling this pollution. Included also are studies on the fate of contaminants in the environment and the effects of contamination on various uses of water resources. Routine sampling and data collection are excluded. Identification of pollutants—Development of techniques for identification, detection, and quantification of physical, chemical, and biologic pollutants in water. This should encompass both traditional pollutants as well as emerging contaminants like toxins, microbial pathogens, pharmaceutical compounds, pesticide metabolites, and other compounds in trace

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Confronting the Nation’s Water Problems: The Role of Research amounts that may have reproductive or endocrine effects and affect human and aquatic health in diverse ways. Sources and fate of pollution—Research to determine the sources of pollutants in water, the nature of the pollution from various sources, the fate and transport of pollutants from source to stream or groundwater, and the transformation of pollutants due to physical, chemical, or biological action. Effects of pollution on water resources—Studies of the effect of pollutants (singly or in combination) on different uses of water: municipal, industrial, agricultural, recreational, and propagation of aquatic life and wildlife (as sometimes assessed via ecological risk assessment). This also includes studies on the cause of eutrophication in fresh and marine waters. Note: Research on how waterborne pollutants affect human health should be reported in V-H. Waste treatment processes—Research on physical, chemical, and biological treatment processes to remove or modify impurities in wastewater, including new types of waste; research on treatment methods for more complete removal of pollutants that will facilitate water reuse for domestic, agricultural, or industrial purposes; research on treatment processes for remediating contaminated groundwater. Ultimate disposal of wastes—Studies on the disposal of residual material resulting from treatment of contaminated waters. Such wastes include the material removed from municipal, industrial, and agricultural waters during treatment, the waste brines from desalination or oil fields, radioactive waste concentrates, wash waters from filters at drinking water treatment plants, etc. This includes disposal to both land areas and receiving waterbodies including groundwater. Water treatment and distribution—Development of more efficient and economical methods of water treatment for municipal, industrial, agricultural, or recreational uses. This includes alteration of water quality to prevent deterioration during storage and distribution. Water quality control—Research on methods to control surface water and groundwater quality by all methods (except waste treatment, which is in V-D) such as production modification or substitution, process changes, improved agricultural practices for preventing pollution from pesticides and other agricultural chemicals; other structural management measures (BMPs) to protect water resources from water quality changes brought about by various land-use practices (nonpoint source pollution control).

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Confronting the Nation’s Water Problems: The Role of Research This also includes management of waters to improve water quality such as flow augmentation and supplemental aeration. Thus, it complements IV-A, IV-D, and VI-F. Effects of waterborne pollution on human health—Chemical and microbial risk assessment methods development and underlying research such as statistical, exposure, and dose-response studies. This includes both laboratory and field research that contributes knowledge to human health risk assessments for both general and susceptible subpopulations (e.g., children, the elderly, immune-compromised groups). VI. WATER RESOURCES PLANNING AND OTHER INSTITUTIONAL ISSUES The problems of achieving an optimal plan of water development are becoming increasingly complex. Category VI covers research devoted to determining the best way to plan, the appropriate criteria for planning, and economic, legal, and institutional aspects of water resources management, as well as other contributions from the social sciences. It does not include economic, legal, and social analyses that represent an integral phase of research activities conducted under the other major categories. Techniques of planning—Application of systems analysis to project planning; treatment of uncertainty; probability studies; decision support systems. Evaluation process—Development of methods, concepts, and criteria for evaluating project costs and benefits; estimating project life and other economic, social, and technological parameters into the future; research on discount rates and planning horizons. Economic issues—Studies of the role of prices and markets in managing water resources (including price and income elasticities, water markets and quasi-markets, the value of water in alternative uses, the costs of providing water via different technologies, and techniques of cost allocation); cost sharing; and repayment policy. This subcategory includes research on economic methodologies that may increase the effectiveness and breadth of water-related economic institutions. Water demand—Research on the water quantity and quality requirements of various water-use sectors, both diversion and consumption, excepting environmental uses (in XI-A). Water law and institutions—Studies of state and federal water laws, including groundwater laws, with an emphasis on changes and additions

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Confronting the Nation’s Water Problems: The Role of Research that will encourage greater efficiency in use and other issues. This subcategory also includes investigation of institutional structures and constraints that influence decisions on water at all levels of government. Nonstructural alternatives—Exploration of methods to achieve water development aims by nonstructural methods. This includes research on nonstructural practices that might be part of water resources and watershed management, including land acquisition, conservation easements, zoning and development ordinances, septic system siting requirements and inspection, economic incentives, incentives to reduce impervious cover, and public education and outreach. Risk perception and communication—Research focused on the ways in which people perceive water-related risks and how that impacts public decision making, as well as alternative ways of communicating about such risk. Other social sciences—Studies in anthropology, geography, political science, psychology and sociology related to water. Such studies include those focused on different value structures and cultural norms, experience with processes for obtaining stakeholder input, and cultural, ethical, and religious facets associated with water and its use. Water resources policy—Research focused on the determinants of water resources policy and on methods for generating policies based on sound scientific concepts. This subcategory also includes ex post studies of how past projects and policies have performed. VII. RESOURCES DATA Category VII includes research oriented to data needs and the most efficient methods of meeting these needs. This category contains only that research primarily devoted to improving strategies for establishing field data collection programs, data acquisition methods, and data evaluation, processing, and dissemination. (This includes waterborne disease surveillance systems.) It does not include research on new monitoring techniques for individual parameters (such research would be categorized in II, III, IV, V, or VI). Finally, no funds reported in this category are for data collection as such. Network design—Studies of data requirements and of the most effective methods of collecting the data. Data acquisition—Research on new and improved instruments and techniques for collection of water resources and related data, including automation, telemetering equipment, and remote sensing.

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Confronting the Nation’s Water Problems: The Role of Research Evaluation, processing, and publication—Studies on effective methods of processing and analyzing data, on compiling such data and information into databases, and on the most effective form and nature of published data, including web sites and maps. VIII. ENGINEERING WORKS To implement water development plans requires engineering works. Category VIII describes research that has as its prime objective the development of improved technology for designing, constructing, and operating these works. Works relevant to a single specific goal, such as water treatment or desalination, are included elsewhere if an appropriate category exists. Structures—Research on the design and construction criteria and techniques for all structures associated with the development of water resources or the control of surface water or groundwater. Included are dams, locks, bridges, conduits, lined tunnels, floodwalls and levees, water supply intakes, wells, pipelines, and reservoirs. Hydraulics—Studies of the static and dynamic behavior of water as it influences design theory for spillways, penstocks, conduits, tunnels, canals, rip-rap, breakwaters, floodwalls, wells and well systems, and other similar structures. Hydraulic machinery—Design and performance of hydraulic machinery and equipment including gates, valves, pumps, turbines, and similar facilities. Includes associated control facilities, generators, transmission systems, and power system operation to the extent each is unique to problems of water utilization. Soil mechanics—Research on the design theory, criteria, techniques, and engineering properties of soils as related to the design, construction, and performance of cut slopes, earth foundations for water resources engineering works, embankments, and rockfill structures. Rock mechanics and geology—Study of the behavior of rock masses and rock foundations, engineering characteristics, and structural properties of rock materials, and design techniques applicable to foundations for large structures—for application specifically to water resources engineering works. Concrete—Research on cementing materials, aggregates, and other concrete components; engineering characteristics of concrete construction methods and techniques that pertain to water resources engineering works.

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Confronting the Nation’s Water Problems: The Role of Research Materials—Study of miscellaneous materials other than soil, rock, concrete, and concrete components, and study of detection, measuring, and materials testing techniques and equipment. Areas included are bituminous materials, chemical materials, metals, paints and corrosion, and plastics or synthetic materials associated with water or structures for water control. Rapid excavation—Research on the mechanical, chemical, and nuclear explosive techniques and equipment for rapidly excavating and moving large volumes of earth or rock—for application specifically to water resources engineering works. Fisheries engineering—Research and development of techniques and design of facilities to attract and pass fish past dams and other water control structures. Development of methods for improving the design, maintenance, and functioning of fish spawning areas. Infrastructure repair and rehabilitation—Research on how to extend the life and maintain the safety of existing water structures (e.g., dams, pipelines, aqueducts, etc.). Restoration engineering—Research on the restoration of natural flows and mitigation of ecological impacts via reversal of engineering works, including dam removal, modification of existing structures, etc. Facility protection—Research on structural and nonstructural means of protecting water-related facilities from terrorism or other threats. IX. MANPOWER, GRANTS, AND FACILITIES Trained personnel are an essential ingredient of research on water resources and the planning and design of water development projects. Category IX describes plans for support of education and training. It also includes grant and contract programs for which allocation to other categories is impossible. Education—extramural—Support of education in water resources and water-related fields at universities. This includes training and facilities grants in the field of water resources, but it does not include grants made under any of the other research categories listed above. Education—in-house—Government employee training programs. Capital expenditures for research facilities—This subcategory includes estimates of the capital cost of research laboratories, field stations, etc., needed in the current fiscal year.

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Confronting the Nation’s Water Problems: The Role of Research Grants, contracts and research act allotments—Allotments to University Water Resources Research Institutes under P.L. 88-379; OWRT, HEW, NSF, CSRS, and other grants that cannot be distributed to other categories. X. SCIENTIFIC AND TECHNICAL INFORMATION Development of adequate manual or mechanized procedures for acquisition, storage, retrieval, and dissemination of scientific and technical information is a vital and integral part of a successful research program. This category includes all separately identifiable activities involved in the handling of recorded knowledge resulting from basic or applied research in the water-related aspects of the physical, life, and social sciences. Such activities include the planning and performance of functions related to: Acquisition and processes—Identification, acquisition, storage, or exchange of documents in full size or reduced form, and the organization or arrangement of these documents for retrieval. Reference or retrieval—Selected search and retrieval of an organized document collection in response to specific user request. Secondary publication and distribution—Selective review, indexing, subject classification, coding, abstracting, announcing, listing, or distribution of documents or their bibliographic surrogates to provide services such as current awareness or selective dissemination of information systems, abstract bulletins, and topical bibliographies. Specialized information center services—Activities described under subcategories A, B, and C where performed by a separate functional element whose mission includes additional subject area technical competence to critically review, digest, analyze, evaluate, or summarize scientific and technical information in specially defined areas, or to provide advisory or other services. Translations—Conversion, to or from English, of scientific or technical documents in whole or part, where performed as a separate or specific activity. Preparation of reviews—Preparation of state-of-the-art critical reviews and compilation in specified technical subject areas, where performed as a separate activity exclusive of the output of subcategory D.

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Confronting the Nation’s Water Problems: The Role of Research XI. AQUATIC ECOSYSTEM MANAGEMENT AND PROTECTION Increasing water demands for human use, the effects of changing land-use practices on receiving waters, an expanding list of contaminants, and climate change and alteration of global biogeochemical cycles challenge the effective management and protection of aquatic ecosystems. Biological diversity and ecosystem processes of lakes, wetlands, and rivers are increasingly at risk, with the potential degradation of ecosystem goods and services and loss of species. Most prior research has focused on a narrow view of water quality for human use and direct harm to sensitive species. Research under Category XI is directed to understanding aquatic ecosystem management and protection in coupled, complex systems, including studies of long duration and large spatial scale. Ecosystem and habitat conservation—Research to gain improved understanding of the coupling of hydrologic and ecological processes, such as the ecological outcomes expected from particular flow regimes, hydroperiods, and geochemical conditions. It also includes research into all aspects of aquatic ecosystem structure and function, including water requirements of aquatic and related terrestrial ecosystems, ecosystem response to degradation, procedures for restoration, and response of the biota to management alternatives. Note: Research on restoration strategies may overlap with IV-D, V-G, and VIII-K. The decision as to where to categorize activities should depend on the primary goal (i.e., water quantity control vs. ecosystem restoration). Aquatic ecosystem assessment—Research into methods and models to assess the status of aquatic ecosystems, and development of indicators and indices of ecological integrity to identify locations where restoration is appropriate, to provide a means of monitoring long-term trends in ecosystem status, and to quantify trends in improvement or deterioration over time in response to human actions. This subcategory includes efforts to develop metrics of the monetary value of ecosystem services. Effects of climate change—Research to determine the complex direct and indirect pathways by which climate change will impact freshwater ecosystems and their biological productivity, including changes in water quantity and quality, biogeochemical cycles, and food webs. Biogeochemical cycles—Research to understand and predict the cycles of C, N, P, S and other elements at the global scale; to understand the sources, fluxes, transformations, and fate of these elements; and to understand how humans have affected the global cycling of these elements and the resulting impacts on climate, biological production, and ecosystem processes. Note: Applied research into the local fate and transport of pollutants including nutrients should be reported under V-C.