Research Foundation &

WateReuse Research Foundation & Association

Operations Manual January 2015

WateReuse Operations Manual January 2015 Table of Contents

Introduction ...... 3

Overview of the Organization ...... 4

Research ...... 6

Education ...... 19

Appendix A: Conflict of Interest Policy ...... 23

Appendix B: Confidentiality Policy ...... 28

Appendix C: Publications Policy ...... 30

Appendix D: Intellectual Property Policy ...... 32

Appendix E: Copyright Policy ...... 39

1199 North Fairfax Street, Suite 410 Alexandria, VA 22314 (703) 548-0880 www.WateReuse.org/Foundation [email protected]

2 Introduction

The WateReuse Research Foundation is a not-for-profit charitable organization that conducts research to improve the treatment, distribution and acceptance of reusing wastewater. The WateReuse Association is a not-for-profit association of utilities, government agencies and industry that advocates for laws, policies and funding to promote water reuse. Both organizations play an important role in education. The Research Foundation creates educational tools and the Association uses those tools educate policymakers and the public on the science, economic value and environmental benefits of treating water to safely use it for a specific purpose, such as irrigation, manufacturing and drinking water.

Together, the organizations provide a comprehensive and complementary approach to building support for increased water reuse. Purpose

The purpose of the Operations Manual is to define the policies, procedures and practices used to build support for water reuse through research, education and advocacy. The Operations Manual will also ensure WateReuse is meeting the needs of its members, funders and stakeholders.

3WateReuse Operations Manual January 2015 Overview of the Organization

Organizational Structure

The WateReuse Research Foundation is a 501(c)3 not-for-profit charitable organization with a membership that includes water suppliers and businesses. The Foundation conducts applied research on the treatment, delivery and public acceptance of reused water.

The WateReuse Association is a 501(c)6 not-for-profit trade association for water suppliers, related businesses and industry. The Association advocates for laws, policies and funding to increase water reuse.

Board of Directors

Each organization is governed by a Board of Directors who work together to lead the organizations with one vision and one voice.

Executive Committee

The Executive Committee is comprised of the Chair, Vice Chair, Secretary and Treasurer of the Foundation and the President, First Vice President, Secretary and Treasurer of the Association. This committee conducts the day-to-day business of the organization between meetings of the Board of Directors.

Committees

Multiple volunteer committees support the work of WateReuse. The Board of Directors establishes policies and guidelines for the committees. Committee members must comply with a standard non-disclosure and conflict of interest policies (Appendix A). Committee members may be reimbursed for eligible travel based on standard policies.

4WateReuse Operations Manual January 2015 Management

The Executive Director is responsible for implementing the long-term vision and overseeing the day-to-day activities of the organization.

WateReuse has a full-time staff of twelve.

5WateReuse Operations Manual January 2015 Research

WateReuse is committed to conducting research that provides value to its members, partners, donors, policymakers and the public. The organization achieves that goal through scientific integrity, collaboration, leveraged funding, member involvement and demonstrated benefits.

Our research covers a broad spectrum of scientific, technical and social science issues, including:  Potable Reuse o Indirect Potable Reuse o Direct Potable Reuse  Water quality and Human/Environmental Health o Pathogens o Chemicals o Byproducts and Nutrients  Treatment Technologies  Operations and Framework  Public Perception and Acceptance  Economics/Triple Bottom Line  Energy  Industrial Reuse  Desalination  Brine/Salinity Management

Our research applies to multiple uses, including:  Drinking Water (Direct Potable and Desalination)  Indirect Potable Reuse (Groundwater Recharge and Surface Water Augmentation)  Non-Potable (irrigation, environmental)  Industrial/Manufacturing  Energy Generation

6WateReuse Operations Manual January 2015 Programs

WateReuse has four research programs – Principal Program, Tailored Collaboration Program, One Water Innovation Program and Partnership Program.

Key Parameters for Projects:  All projects address issues identified in the Research Agenda.  All projects are approved by the Board of Directors.  All projects are peer reviewed by a Project Advisory Committee (PAC).

Principal Program

The Principal Program is the core research program of WateReuse. Projects include original scientific research and literature reviews. The Research Advisory Committee is responsible for proposing an Annual Research Agenda for the Principal Program to the Board of Directors. Up to 75% of the annual research budget is allocated to Principal Program.

Key Parameters for Projects in the Principal Program:  Current and future needs of members are given priority in development of projects.  Projects are competitively bid through a Request for Proposals.  Proposals must comply with the Guidelines for Solicited Proposals.  Contractors are required to provide an in-kind match of at least 25% of total project costs.

Tailored Collaboration Program

The Tailored Collaboration Program provides members with the opportunity to develop projects that may address the need for applied research of local or regional interest with greater application to the water reuse community. The Tailored Collaboration Committee is responsible for recommending projects to the Board of Directors. Up to 25% of the annual research budget is allocated to the Member Priority Program.

Key Parameters for Projects in the Tailored Collaboration Program:  Projects complement, but do not duplicate, projects that are completed or underway.  Projects can address local and regional issues but are broadly applicable to the reuse community.  Only members to the WateReuse Research Foundation are eligible to participate in the program.  Projects are competitively bid using a two-step process. A call for pre-proposals is issued in January and select teams are invited to submit a full proposal in the Spring.  Proposals must comply with the Guidelines for Tailored Collaboration Proposals.

7WateReuse Operations Manual January 2015  Maximum funding available for individual projects is determined on an annual basis (approximately $100,000-$150,000) and communicated in the call for pre-proposals.  Members are required to provide a cash match of at least 50% of total project costs. In- kind services, such as analytical, support, consulting services, are encouraged in addition to the cash match.  Members may submit more than one pre-proposal, however only one per organization is eligible for funding on an annual basis.

Partnership Program

The Partnership Program develops projects collaboratively with organizations that are not members of WateReuse. Projects can be proposed by WateReuse or other organizations. Up to 5% of the research budget is allocated to Partnership Projects.

Key Parameters:  Partners may be federal, state and local government agencies and not-for-profit research organizations.  Partners participate in planning, funding, management, implementing and reporting but do not participate as contractors.  Projects may be competitively bid through a Request for Proposals.  Projects are managed either by WateReuse or partner organization.  Partners or contractors are required to provide an in-kind match of at least 50%of total project costs.

One Water Innovation Program

The One Water Innovation Program provides the opportunity for ground-breaking, cutting-edge novel research that furthers the concept that all water is usable and should be treated to safely use it for its designated purpose. A minimum of $1 million is necessary to pursue a project under this program. Broad goals for the program and guidelines for proposals are defined based on the priorities and parameters when funding is announced. Key Parameters for Projects in the One Water Innovation Program:  Projects complement, but do not duplicate, projects that are completed or underway.  Members and non-members are eligible to participate in the program.  Projects are competitively bid using a two-step process. A call for pre-proposals is issued in June and select teams are invited to submit a full proposal in the Fall.  Proposals must comply with the Guidelines for One Water Innovation Proposals.  Maximum funding available for individual projects is determined on an annual basis and communicated in the call for pre-proposals.

8WateReuse Operations Manual January 2015  Members are required to provide a cash match of at least 50% of total project costs. In- kind services, such as analytical, support, consulting services, are encouraged in addition to the cash match.

Roles and Responsibilities

Research Advisory Committee

The Research Advisory Committee is responsible for developing the Annual Research Agenda, which is approved by the Board of Directors.

The Research Advisory Committee is comprised of between 25 and 32 members appointed by the Board of Directors. Members are selected, primarily, based on their area of expertise and experience. Other factors, such as geographic representation and affiliation type, are also considered. Membership includes individuals from water and wastewater utilities, engineering and consulting firms, manufacturers, suppliers, academia, industry, and federal and state regulatory agencies. An organization may not be represented by more than one person on the Committee.

Members can serve two consecutive three-year terms and may be reappointed after a two-year hiatus. Terms are staggered to maintain continuity. In the case of an unplanned vacancy, the Board of Directors may appoint a member to fill the rest of the term. The Board of Directors may also replace a member who cannot fulfill the expected duties.

The Board of Directors appoints a Chair and Vice Chair to lead the Research Advisory Committee, which includes managing the process, running meetings and reporting activities. The Chair and Vice can serve two consecutive, three-year terms. The Chair also serves as an ex- officio member of the Board of Directors.

Tailored Collaboration Committee

The Tailored Collaboration Committee is responsible for recommending Tailored Collaboration Projects to the Board of Directors. The Tailored Collaboration Committee is comprised of the members of the Research Advisory Committee, including Chair and other volunteers representing various organizations and expertise.

Project Advisory Committee

A Project Advisory Committee provides expert peer review and technical oversight to a single project. A Project Advisory Committee is comprised of four to six individuals with scientific expertise and industry perspective. Members are selected, primarily, based on their area of expertise and experience. Other factors, such as geographic representation and affiliation type, are also considered. Members are selected by the Research Project Manager with direction

9WateReuse Operations Manual January 2015 from the Research Director and Research Advisory Council. Members must comply with the Project Advisory Committee Member Guidelines.

The Research Director is responsible for implementing the annual Research Plan and managing the day-to-day activities of the research program, including coordinating the Research Advisory Committees and Tailored Collaboration Committees, finalizing members for each Project Advisory Committee, assisting Research/Project Managers, and tracking and reporting on progress.

Research/Project Managers are responsible for managing individual projects, including development of the project scope, selection of research teams, activities of the Project Advisory Committees and delivery of results.

Process and Procedures

WateReuse uses a systematic approach to conducting research:  Establish a comprehensive and relevant Annual Research Agenda that defines priorities and meets the needs of members and the broader reuse community,  Address the specific needs and priorities of members through a collaborative effort,  Leverage funding and expertise to conduct additional research,  Spur transformational scientific breakthroughs,  Safeguard scientific integrity,  Ensure a transparent and unbiased procurement process,  Manage research projects to keep them on track, on time and on budget, and  Deliver research results that provide meaningful contributions to the industry.

Establishing an Annual Research Agenda: Principal Program

WateReuse develops an Annual Research Agenda to implement its Principal Program. The Annual Research Agenda is proposed by Research Advisory Committee and approved by the Board of Directors.

Planning: 4th Quarter

1. Needs Assessment. Staff surveys members on their research needs and priorities.

2. Analysis. Staff review and report survey results.

10WateReuse Operations Manual January 2015 3. Budget and Project Allocation. The Board of Directors establishes the budget for research, including the allocation for the Principal Program, Tailored Collaboration Program and Partnership Program.

Development: 1 st Quarter

1. Preliminary Priorities. The Research Advisory Committee develops a priority list of proposed research projects based on the Research Agenda, results of surveys and workshops, and input from the Board of Directors.

2. Detailed Project Descriptions and Recommendations. Staff develops detailed descriptions for projects identified by the Research Advisory Committee. Project descriptions include background, proposed technical approach, expected benefits, estimated budget, schedule and potential research partners. The Research Advisory Committee considers and approves project descriptions and ranks projects as “A” and “B.”

3. Project Approval. The Board of Directors considers projects on the “A” list and approves a final slate of projects.

Implementation: Year-Round

March April May June July Aug. Sept. Oct. Nov. Dec. Jan. Feb. 1 2 3 4

1. March – June: Project Development. Staff develops partnership agreements, if applicable. With the advice of the Research Advisory Council, staff selects members for each Project Advisory Committee. Project Advisory Committees develop Requests for Proposals.

2. June – December: Request for Proposals. Staff release Request for Proposals. 3. July – February: Selection of Research Teams. Project Advisory Committees evaluate proposals and select research team for each project.

4. September – April: Project Awards. WateReuse awards Projects based on the recommendation of the Project Advisory Committees.

11WateReuse Operations Manual January 2015 Addressing the Specific Needs of Members: Tailored Collaboration Program

WateReuse allows members of its Foundation to propose research projects through its Tailored Collaboration Program. Projects are recommended by the Tailored Collaboration Committee and approved by the Board of Directors.

Planning: 4 th Quarter

1. Budget and Project Allocation. The Board of Directors establishes the budget for research, including the allocation for the Principal Program, Tailored Collaboration Program and Partnership Program.

Open Call: 1st Quarter

1. Pre-proposals. WateReuse calls for pre-proposals.

2. Pre-proposal Review. The Tailored Collaboration Committee evaluates pre-proposals and recommends projects for full proposals.

Final Selection: 2nd Quarter

1. Full Proposals WateReuse requests full proposals from research teams

2. Proposal Review. The Tailored Collaboration Committee evaluates proposals and recommends projects for funding.

3. Approval. The Board of Directors reviews and approves projects.

4. Award. WateReuse awards funding to project team, with or without conditions.

Leveraging Funding and Expertise: Research Partnership Program

WateReuse works with government agencies and not-for-profit organizations to conduct research through its Partnership Program. Partnerships leverage funding and expertise to achieve more research at lower cost. Projects may address broad-based issues in the water reuse community and cross-industry issues. Projects are developed collaboratively and approved by the Board of Directors.

12WateReuse Operations Manual January 2015 Current and Former Partners:  Bureau of Reclamation, U.S. Department of Interior  U.S. Environmental Protection Agency  California Energy Commission  State Water Resources Control Board (CA)  National Academies’ National Research Council  Water Research Foundation  Water Environment Research Foundation  National Water Research Institute  Singapore’s Public Utilities Board  Pentair Foundation  Water Services Association of Australia  Water Recycling Centre of Excellence (Australia)

Planning: 4 th Quarter

Development, Selection and Approval: Year-Round

1. Identification of Potential Partners. Staff identified potential research partners during development of detailed project descriptions and recommendations for the Principal Program.

2. Project Approval. The Board of Directors considers projects on the “A” list and approves a final slate of projects.

3. Partnership Agreements. Staff develops and enters into partnership agreements for projects with partners approved by the Board of Directors

4. Proposal Submissions. Organizations can submit proposals anytime during the year. WateReuse accepts proposals until funding is allocated. Proposals are not accepted after the funding is allocated.

5. Proposal Review, Evaluation, Recommendation, Approval and Awards. Staff review, evaluate and recommend proposals to the Board of Directors. The Board of Directors considers and approves projects.

13WateReuse Operations Manual January 2015 Based on approval from the Board of Directors, staff selects members for each Project Advisory Committee, if managed by WateReuse, and awards the project.

Spurring Transformational Scientific Breakthroughs: One Water Innovation Program

WateReuse actively pursues opportunities to fund cutting-edge research that transforms the reuse of water. Projects can be proposed by any research team or organization and are approved by the Board of Directors.

Planning: 4th Quarter

Open Call: 3rd Quarter

1. Pre-proposals. WateReuse calls for pre-proposals.

2. Proposal Review. The One Water Innovation Committee evaluates proposals and recommends projects for full proposals.

Final Selection: 4th Quarter

1. Full Proposals WateReuse requests full proposals from research teams.

2. Proposal Review. The One Water Innovation Committee evaluates proposals and recommends projects for funding.

3. Approval. The Board of Directors reviews and approves projects.

4. Award. WateReuse awards funding to project team, with or without conditions. Safeguarding Scientific Integrity

Scientific integrity is the cornerstone of respected and trusted research. To ensure credibility and independence in developing and delivering research, WateReuse has adopted strict policies to prevent bias, avoid conflicts of interest, and ensure confidentiality.

14WateReuse Operations Manual January 2015 To avoid even the appearance of impropriety or preferential treatment, representatives of WateReuse are prohibited from soliciting or accepting, directly or indirectly, any gift of significant monetary value for their personal benefit from any person, corporation, or group that has an existing or potential interest affected by WateReuse. The Board of Directors, members of the Research Advisory Committee and Project Advisory Committees, ad hoc groups, and key staff are required to sign a Conflict of Interest Certification asserting that they have no conflict of interest.

To protect intellectual and proprietary data and information, representatives of WateReuse are prohibited from disclosing any confidential information received from the organization and third parties. The Board of Directors, members of the Research Advisory Committee and Project Advisory Committees, ad hoc groups, and key staff are required to sign a Confidential Information Non-Disclosure Agreement vowing not to disclose confidential information.

Ensuring a Rigorous, Transparent and Unbiased Procurement Process

WateReuse also implements a rigorous and transparent procurement process in selecting contractors and research teams. To ensure a high quality selection process, the Project Advisory Committee, which is comprised of scientists and subject matter experts, must unanimously agree on the selection of the contractors and research team.

Key Parameters of the Selection Process:  Proposals must comply with comprehensive and detailed guidelines developed by WateReuse.  To award a project, the Project Advisory Committee must come to consensus on the selection of the research team.  Key decision-makers are required to sign a Conflict of Interest Certification and a Confidential Information Non-Disclosure Agreement.

Contractor Selection (Principal Program only)

1. Requests for Proposals are released.

2. Proposals are distributed by the Project Manager to members of the Project Advisory Committee.

3. Members of the Project Advisory Committee evaluate, score and rank the proposals based on the specific criteria defined in the guidelines. Comments, including strengths, weaknesses, suggestions for modifications and recommendations for funding, are documented.

4. The Project Manager compiles evaluations from members into a summary report and disseminates to the entire Project Advisory Committee.

15WateReuse Operations Manual January 2015 5. The Project Manager convenes an Award Nomination Call for the Project Advisory Committee to discuss the merits of the proposals and determine the potential for awarding the project to a contractor based on the submissions. The Project Advisory Committee can choose one of three options:

a. Recommend the project be awarded, b. Request more information on one or more submissions, or c. Reject all submissions and re-release the Request for Proposals.

Project Awarded: If the project is awarded, the Project Advisory can require conditions as a prerequisite for the award. Conditions can include modifications to the technical approach, schedule, personnel or other aspects of the proposal.

Request for More Information: If more information is requested, the Project Advisory Committee provides detailed requests for clarification or questions. Responses can be collected via email or through an oral presentation via conference call or webcast. After the additional information is received, the Project Manager convenes a second Award Nomination Call to discuss and determine the potential for awarding the project based on supplemental submissions.

Re-Release of Request for Proposals: If the Project Advisory Committee determines that the submissions do not meet the minimum standards, the Request for Proposals is re- released and the process starts from the beginning.

1. The Project Manager drafts an award letter, with or without conditions.

2. The Director of Research ensures the award complies with WateReuse policies.

3. The Project Advisory Committee approves the letter.

4. If conditions are applied, the award recipient must respond in writing and the response is incorporated into the funding agreement.

5. WateReuse and the research team execute a funding agreement, which includes provisions addressing the scope of work, progress reporting requirements, deliverables, intellectual property, compensation and budget, schedule, conditions and other related areas.

Managing Research Projects

All projects (in all programs) are peer-reviewed. Peer review is conducted by the Project Advisory Committee which is involved in the project from conception to completion.

16WateReuse Operations Manual January 2015 The Project Advisory Committee provides technical, contractual and administrative oversight. Members review and critique quarterly progress reports, draft research reports and other deliverables. The Project Manager facilitates the interaction of the Project Advisory Committee and the research team.

Research teams are contractually required to submit quarterly progress reports, which include the status of the project, expenditures, and outreach activities. The progress reports allow the Project Advisory Committee and Project Manager to monitor the progress and quality of the work, ensuring the projects remain on track, on budget and on time. Progress reports are also provided to participating water and wastewater utilities to facilitate their review of data collected at their facilities.

The Project Manager compiles comments from the Project Advisory Team for the research team to address. Reports and other deliverables are finalized once comments are addressed.

The Project Manager also conducts quarterly conference calls to brief donors on the progress of research projects.

Delivering Research Results

WateReuse delivers research results in publications, presentations, tools and databases.

WateReuse publishes final research reports online and in print for distribution to members, funding partners, the water community, and the general public. Each research report is accompanied by a synopsis, which is a two-page summary of the results that is available and accessible to the general public. In addition, research teams are encouraged to submit their findings to peer-reviewed technical journals for publication. Research reports and other products are copywrited.

To ensure consistency, WateReuse conforms to a Style Guide which defines formatting such as font, font size, layout of tables and figures, and structure of chapters, title pages, tables of content and figures, text and references.

Research results are showcased at the Annual Water Reuse and Desalination Research Conference, which draws hundreds of members of the water reuse community from around the world. Throughout the year, research results are featured in the quarterly journal, World Water Reuse & Desalination, and monthly webcasts.

17WateReuse Operations Manual January 2015 Education

Since its launch in 1993, WateReuse has made significant progress addressing the scientific, technical and economic challenges to producing and delivering reused water. However, more needs to be done to address public perception and increase acceptance of water reuse.

WateReuse is committed to developing educational tools that can be used by members and community leaders to inform the public and various constituencies about the practice of treating water to fit the purpose.

Key Parameters of the Education Program:  All projects and products address issues identified in the Research Agenda.  All projects are approved by the Board of Directors.  All products are reviewed for accuracy by technical experts.  Projects may be developed by staff or contractors. Contractors may be competitively bid or pre-selected.

18WateReuse Operations Manual January 2015 Roles and Responsibilities

Annual Symposium Committee

The Annual Symposium Committee is responsible for developing the program and activities for the yearly conference. The Annual Symposium Committee is comprised of four members, including one member responsible for program development, one member representing the city where the conference is being held, and a representative from the Water Environment Federation and the American Water Works Association, who are co-sponsors of the conference.

Communications Advisory Committee

The Communications Advisory Committee is responsible for providing feedback on the development of communications products and projects. The Communications Advisory Committee is comprised of three to four members with expertise in public relations, marketing and online education.

Projects and Products

Events

WateReuse hosts multiple events to educate members and the broader water reuse community about the science and implementation of water reuse.

 The Annual WateReuse Research Conference convenes the best and brightest scientists from around the world to share the results of their research with water utilities and others.  The Annual WateReuse Symposium brings together researchers, water utilities, policymakers and advocates to learn about the latest science, technology, legislation, policy and lessons learned from experience on the ground. The Water Environment Federation and the American Water Works Association are co-sponsors of the conference.  Specialty conferences are organized periodically to address specific issues, such as potable reuse and industrial reuse.  The annual One Water Innovations Gala honors individuals, organizations and companies who have made significant contributions to the advancement of water reuse.

Webcasts

Throughout the year, WateReuse hosts multiple live, interactive webcasts to share research results and cover hot topics.

19WateReuse Operations Manual January 2015 Polling and Focus Groups

WateReuse conducts polling and focus groups to provide an empirical basis for developing compelling messages and outreach.

Educational Tools

WateReuse develops and produces a variety of educational tools, including fact sheets, backgrounders, infographics, videos, animations and documentaries, to help members and partners raise awareness and build support for water reuse.

Process and Procedures

WateReuse develops an Annual Education Agenda to define the projects that will be developed and produced to raise awareness and build support for water reuse. The Research Agenda guides development of the Annual Education Plan and allocation of funding.

Planning and Development: 4 th Quarter

1. Plan Development. Staff develops an Annual Education Agenda, based on recommendations and feedback from members and committees that includes funding strategies for the proposed products and projects.

2. Plan and Budget Approval. The Board of Directors considers and approves the Annual Education Agenda, allocating funding for priority projects and making other projects contingent on available funding.

Implementation: Year-Round

1. Fundraising Staff pursues funding from donors and philanthropic foundations to develop products and implement projects.

Contractor Selection

1. When funding is secured, staff, with feedback from the Communications Advisory Committee, determines the process for selecting contractors (pre-selection or competitive bid).

2. If contractors are pre-selected, staff and contractors execute a funding agreement. If a competitive bid is pursued, the Communication Director drafts a Request for Proposals.

20WateReuse Operations Manual January 2015 3. Following steps apply to the competitive procurement process.

4. Staff releases Requests for Proposals.

5. Proposals are distributed by the Project Manager to members of the Communications Advisory Panel.

6. Members of the Communications Advisory Committee evaluate, score and rank proposals based on criteria, creativity and cost.

7. The Communications Director convenes an Award Nomination Call for the Communications Advisory Committee to discuss the merits of the proposals and determine the potential for awarding the project to contractor based on the submissions. The Communications Advisory Committee can choose one of three options:

a. Recommend the project be awarded to one or more contractors, b. Request more information on one or more submissions, or c. Reject all submissions and re-release the Request for Proposals.

Project Awarded: If the project is awarded, the Communications Advisory Committee can recommend conditions as a prerequisite for the award. Conditions can include modifications to the technical approach, schedule, personnel or other aspects of the proposal.

Request for More Information: If more information is requested, the Communications Advisory Committee provides detailed requests for clarification or questions. Responses can be collected via email or through an oral presentation via conference call or video conference. After the additional information is received, the Communications Director convenes a second Award Nomination Call to discuss and determine the potential for awarding the project based on supplemental submissions.

Re-Release of Request for Proposals: If submissions do not meet the minimum standards, the Request for Proposals is re-released and the process begins from the beginning.

Project Management: Year-Round

The Communications Director manages the project. Before content is finalized and enters production, representatives of the Research Advisory Committee or other technical experts review material to ensure accuracy.

21WateReuse Operations Manual January 2015 Appendix A

Conflict of Interest Policy

22WateReuse Operations Manual January 2015 WateReuse Research Foundation

CONFLICT OF INTEREST POLICY Adopted: February 26, 2003 Updated: May 3, 2015

Purpose:

The WateReuse Research Foundation, a nonprofit corporation directed by a volunteer Board of Directors, operates on the premise that Board Members, committee participants, staff, project researchers and other volunteers (“representatives” of the Foundation) act on behalf of the Foundation under a code of ethics that ensure an unbiased and objective approach to decisions on the Foundation’s research and educational activities. The acceptability of the research depends on the credibility of the process and the Foundation’s representatives.

Scope:

The Foundation has been organized and its research procedures designed to avoid conflicts of interest. This policy has been established to provide Foundation representatives with guidelines on avoiding conflict of interest.

General Guidelines:

To maintain the trust of its contributors and the confidence of the water reuse and desalination community, the Foundation requires its representatives to conduct themselves in an unbiased manner when involved in Foundation activities. Representatives will avoid the appearance of gain or preference in their role with the Foundation.

Requirements include the following:

1. Representatives will sign an initial “Conflict of Interest Certification Statement.” The statement will address all significant existing or potential relationships that may be affected by this policy. If changes occur in affiliations or other relationships, representatives will notify the Foundation in writing. 2. Representatives will sign a “Confidential Information Non-disclosure Agreement” to ensure the confidentially of all proposals, project progress reports, and draft final reports. All non-selected proposals are the intellectual property of the submitting researcher and must either be sent back to the Foundation or destroyed. 3. Representatives will disclose any gift of significant monetary value (i.e., individual, non-reciprocal gift greater than $50) from any person, corporation, or group which has an existing or potential contractual or other interest that will come before the Board of Directors for action.

23WateReuse Operations Manual January 2015 4. Members of the Board of Directors will notify the Foundation of any involvement with a solicited, unsolicited, co-funded or tailored collaboration proposal prior to the project being considered for funding. 5. Members of the Research Advisory Committee will notify the Foundation of any involvement with a solicited, unsolicited, co-funded or tailored collaboration proposal prior to the project being considered for funding. 6. Members of a Project Advisory Committee (PAC) will notify the Foundation of any involvement with a solicited, unsolicited, co-funded or tailored collaboration proposals. If any involvement is identified, the individual cannot participate on the PAC. He/she may be invited later to rejoin the PAC if the proposal that includes his/her involvement is not selected. 7. Representatives will not be eligible for honoraria for participation in any Foundation activities.

Board of Directors:

In addition to the general guidelines above, Foundation Board Members will adhere to the following requirements to avoid any apparent, potential, or actual conflict of interest regarding Foundation activities:

1. Board Members will inform the full Board at the beginning of the discussion on Foundation solicited, unsolicited, co-funded, and tailored collaboration proposals of any apparent, potential, or actual conflict of interest. 2. For projects in which a Board Member’s organization is the primary participant on a proposal, the Member must excuse him/herself from all discussion on the proposal(s) by leaving the room or getting off the phone. The Member is also ineligible to vote on the proposal. If the proposals are being voted upon as a slate, the Board member may choose to: 1) not vote on the entire slate of proposals, or 2) request that the proposal in which he/she is involved be pulled from the slate and be voted upon separately (so that he/she may vote on the other proposals on the slate). 3. For projects in which a Board Member is part of an organization that is a minor participant, such as providing water samples or completing a survey, the Member must disclose this information at the beginning of the discussion. If the organization is not receiving any Foundation funds for the study, the Member is still eligible to participate in the discussion and the voting process for the proposal. 4. There will be varying situations that fall between these scenarios. Board Members will be relied upon to select the appropriate response in each situation. If there is a question as to the appropriate level of discussion and voting participation, the Member should select the most conservative course of action.

24WateReuse Operations Manual January 2015 Research Advisory Committee Members:

In addition to the general guidelines above, members of the Foundation’s Research Advisory Committee will adhere to the following requirements to avoid any apparent, potential, or actual conflict of interest regarding Foundation activities:

1. Research Advisory Committee Members will inform the Committee Chair of any apparent, potential, or actual conflict of interest at the beginning of the discussion on Foundation solicited, unsolicited, co-funded, and tailored collaboration projects. 2. For projects in which a Research Advisory Committee Member’s organization is a participant on a proposal, the Member must excuse him/herself from all discussion on the proposal(s) by leaving the room. The Member is also ineligible to vote on the proposal.

Project Advisory Committees:

In addition to the general guidelines above, Foundation PAC members will adhere to the following requirements to avoid any apparent, potential, or actual conflict of interest regarding PAC activities.

1. If a PAC member’s organization is a participant in a proposal, the PAC member will automatically be excused from the PAC even if the PAC member is not directly involved. 2. A PAC member is not permitted to be on a proposal submission, even if they have stepped down from the PAC. The involvement of a PAC member or former PAC member in a proposal can disqualify that proposal from consideration.

Ad Hoc Groups:

Informal working groups may be formed as pre-project review groups or under the Research Advisory Committee as topic groups, which may include participants outside the Research Advisory Committee. The members of these informal ad hoc groups will not be asked to sign conflict of interest and non-disclosure agreements since these groups are usually established for technical input and review only. At a minimum, however, members of these ad hoc groups will be informed of the Foundation’s conflict of interest and non-disclosure policies.

ANNUAL GIFT DISCLOSURE

Position:

Please include clients, customers, not-for-profit organizations and other entities that provided more than $50 in compensation or gifts in the reporting year or are likely to provide more than $50 in compensation or gifts in the coming year.

Entity: Amount of Gift:

Purpose:

26WateReuse Operations Manual January 2015 Entity: Amount of Gift:

Purpose:

CONFLICT OF INTEREST Certification Statement

I certify that I have read the WateReuse Research Foundation Conflict of Interest policy and that in the evaluation of proposals submitted to the WateReuse Research Foundation under the following Foundation project/activity ______, I have no conflict of interest that would make me ineligible to review a specific proposal. This includes reviewing proposals involving organizations or institutions where I (or an immediate family member) am an employee, consultant, officer, trustee, or have a financial interest.

______Print Name Affiliation

______Signature Date

28WateReuse Operations Manual January 2015 Appendix B

Confidentiality Policy

CONFIDENTIAL INFORMATION NON-DISCLOSURE AGREEMENT

Agreement Between:

WateReuse Research Foundation And

___Melissa Meeker______(Authorized Foundation Staff) (Foundation Volunteer Name - Print) ______(Affiliation) (Foundation Project/Meeting/Activity) ______(Signature) (Effective Date)

Representative may receive certain data and other information of a confidential or proprietary nature related to the project subject matter from the Foundation or third parties with which the Foundation has entered into an agreement similar to this Agreement. The Foundation and third parties provide such information on a confidential basis, and the Foundation requires that Representative maintain the confidentiality of Confidential Information.

“Confidential Information” means any unpublished information owned or controlled by Discloser relating to technical, manufacturing, marketing or other operations of Discloser that is not generally disclosed to the public, including proprietary processes and designs, trade secrets, inventions, concepts, drawings, data, research methods, research results, proprietary software, product specifications, business, marketing, and future project plans, whether disclosed orally, in writing or by inspection.

Receiver agrees to use Confidential Information only for the permitted use, to retain in confidence all such Confidential Information, and not to disclose any such Confidential Information to anyone except those authorized to receive Confidential Information. The Foundation will, upon request of Discloser, list all persons who have had access to Confidential Information.

The obligation imposed by this Agreement on Representative shall not apply to information that: was in the public domain at the time it was received by Representative; is disclosed with prior written approval of Discloser; or becomes publicly known to Representative from a source other than the Foundation or the Disclosure.

Representative shall return Confidential Information to Foundation, or destroy all copies of documents following completion of review process.

30WateReuse Operations Manual January 2015 Appendix C

Publications Policy

PUBLICATIONS POLICY

1. Consistent with its mission to conduct and promote applied research on the reclamation, recycling, reuse, and desalination of water, it is the policy of the WateReuse Research Foundation (Foundation) to publish all research findings and products, and to distribute these results in accordance with the policy herein. 2. Foundation Subscribers, as a primary source of funding for the Foundation’s research, receive access via download to all printed research reports. Subscribers may request up to five (5) complimentary printed copies. Additional printed copies may be purchased from the Foundation at the cost of production less staff labor plus shipping and handling. Prices are subject to change based upon the cost of materials and vendor services. 3. Research reports will also be made available to WateReuse Association members at a discounted rate and the general public through the Foundation’s website for a nominal fee. Prices are subject to change based upon the cost of materials and vendor services. 4. Ownership of research reports containing relevant information regarding public health, education, marketing, and other non-technical issues, as determined by the Foundation’s Board, will be made available for public review and download at no charge. This effort may be coordinated with the WateReuse Association, whose mission includes public education and outreach. Paper copies of these publications will be made available at a price not to exceed the cost of production and mailing. All other technical reports produced by the Foundation will adhere to the policy outlined above. 5. As a recipient of Federal and State funds, the Foundation may, at the request of such agencies, allow the research results to be accessible to the general public at no charge on the respective funding partners’ website. These requests will be handled on a case-by-case basis and are subject to the approval of the Foundation’s Board of Directors. 6. Foundation contractors and funding partners shall also be encouraged to publish general research findings on their web sites or link to the Foundation’s website for report access.

32WateReuse Operations Manual January 2015 Appendix D

Intellectual Property Policy

INTELECTUAL PROPERTY/COPYRIGHT POLICY

The purpose of this document is to ensure that the Principal Investigator/research team understands the WateReuse Research Foundation’s (Foundation) copyright policy. It clarifies the Intellectual Property section of the Funding Agreement. After reviewing, please sign below acknowledging your understanding. If you have any questions, please contact your project manager or Julie Minton ([email protected], 571-445-5508).

Language on Intellectual Property in the Foundation’s Funding Agreement:

Foundation’s Copyright. The Foundation’s primary purpose in funding the Contractor is to further scientific and technological knowledge in the area of research covered by this Project. The Foundation will be the publisher for the Published Report, as defined in Exhibit A [of the funding agreement], for this Project and any other publishable deliverables specifically identified for this Project in Exhibit A. As the publisher, the Foundation shall retain the copyright to any Deliverables as identified in Exhibit A, and all drafts of those items. The Parties hereto intend that ownership of all Deliverables and copyrights arising out of or resulting from the Deliverables developed under this Agreement shall be exclusively vested in the Foundation (Article II, Paragraph D). None of the Foundation’s Copyright shall be distributed or disseminated in any manner by the Contractor, except for uses under the limited license in Article III, Paragraph 9a(i), without the prior written approval of the authorized representative of the Foundation, which approval will not be unreasonably withheld, conditioned or delayed, except as otherwise may be required by law. (Section 9.a of agreement)

The Foundation’s Policy – In Plain Language:

The Foundation’s Intellectual Property consists of the deliverables and their drafts , including but not limited to progress reports, final report, and drafts, as explained in Exhibit A of the Funding Agreement (page 17)). The Foundation’s Intellectual Property does not include the raw data or information generated over the course of a project, which is the contractor’s Intellectual Property. Implications:

 Therefore, once a deliverable has been submitted to the Foundation, the author is no longer the copyright holder – the Foundations is. From that point forward, the author will need to treat the deliverable like any work by another researcher. This means that the author cannot copy items from a deliverable for another use (in another presentation or publication) without providing attribution to the Foundation.

 A Funding Agreement gives the author of the Foundation’s Intellectual Property rights to use the property for certain purposes. From the standard Funding Agreement:

34WateReuse Operations Manual January 2015 The Foundation hereby grants the Contractor a limited, revocable, royalty-free, nonexclusive, license to: reproduce; distribute; prepare Derivative Works based upon the Foundation’s Copyright developed under this agreement; publicly display; use; and perform the Foundation’s Copyright exclusively for Educational Purposes as defined in Article II, Paragraph B above. Such license shall not extend to or include the use of the Foundation’s name, logo, or service or trademarks. (9.a.i)

 The researcher is permitted (and encouraged) to present/publish elsewhere during or after the project’s tenure as long as the following conditions are met (9.a.iii): o the contractor provides the Foundation with a copy of the article at least three weeks before submission; o the contractor protects the Foundation’s Intellectual Property (does not dispose of or injure the Foundation's Intellectual Property); and o the article contains the appropriate acknowledgement of the Foundation's support for the work (see acknowledgement section below).

 It is obligatory on all authors to only provide a publisher with material that they either own the copyright or have received express permission from the copyright holder (the Foundation or other). This is often articulated by academic journals with a copyright transfer agreement that the author of a submission must sign prior to publication.

 If a journal/book does not allow the publishing of copyrighted material, materials under the Foundation’s copyright may not be published with them.

Copyright/Acknowledgement/Disclaimer:

 In a submission using work funded by the Foundation, whether or not there is actually any of the Foundation’s Intellectual Property involved, the following acknowledgment must be included:

The [Contractor] gratefully acknowledges the WateReuse Research Foundation’s financial, technical, and administrative assistance in funding and managing the project through which this information was discovered, developed, and presented.

 If there is any of the Foundation’s Intellectual Property included, also add this disclaimer:

The comments and views detailed herein may not necessarily reflect the views of the WateReuse Research Foundation, its officers, directors, employees, affiliates, or agents.

 If authoring an article or presentation using the Foundation’s copyright (e.g. figures, tables), insert:

Previously Published Material Submitted to the Foundation:

 The Principal Investigator of a project is responsible for delivering original work which he/she owns the copyright (then upon receipt the Foundation owns the copyright). The deliverables submitted to the Foundation cannot violate or infringe on any existing copyright.

 If a Principal Investigator would like to use items in the deliverables that the Principal Investigator does not hold the rights to, the Principal Investigator will be responsible for citing, crediting, and obtaining permission for such items. As the author of a work, the Principal Investigator is responsible for complying with copyright laws and laws of privacy and libel. The report will not be considered complete until all licenses and documentation for all works requiring permission have been supplied; therefore authors are encouraged to begin obtaining permissions as soon as possible. Appendix B describes what constitutes materials that need permission.

The project team understands and will abide by the Foundation’s copyright policy, as agreed to in the Funding Agreement.

Principal Investigator signature: ______Date: ______Principal Investigator signature indicates understanding of the entire research team, particularly authors of deliverables.

FUNDING AGREEMENT – INTELLECTUAL PROPERTY SECTION

9. Intellectual Property. Intellectual property shall be determined in accordance with U.S. Intellectual Property Laws and the terms and conditions of this Agreement.

a. Foundation’s Copyright. The Foundation’s primary purpose in funding the Contractor is to further scientific and technological knowledge in the area of research covered by this Project. The Foundation will be the publisher for the Published Report, as defined in Exhibit A, for this Project and any other publishable deliverables specifically identified for this Project in Exhibit A. As the publisher, the Foundation shall retain the copyright to any Deliverables as identified in Exhibit A, and all drafts of those items. The Parties hereto intend that ownership of all Deliverables and copyrights arising out of or resulting from the Deliverables developed under this Agreement shall be exclusively vested in the Foundation (Article II, Paragraph D). In addition: i. Contractor’s Limited License. The Foundation hereby grants the Contractor a limited, revocable, royalty-free, nonexclusive, license to: reproduce; distribute; prepare Derivative Works based upon the Foundation’s Copyright developed under this agreement; publicly display; use; and perform the Foundation’s Copyright exclusively for Educational Purposes as defined in Article II, Paragraph B above. Such license shall not extend to or include the use of the Foundation’s name, logo, or service or trademarks.

iii. Publications and Presentations Utilizing the Foundation’s Copyright. The Foundation encourages the Contractor to publish based on this Project and to utilize the Foundation’s Copyright exclusively for Educational Purposes as detailed in Article II, Paragraph B. Any publication of Foundation Intellectual Property must comply with the requirements of Article III, Paragraph 9a (1) and (2) above. The Contractor agrees to fully comply with the following steps prior to any such use, distribution, presentation, or publication: 2) Protection of the Foundation’s Copyright. The Contractor agrees and understands that it shall not sell, assign, transfer, compromise, dispose of or injure the Foundation’s rights to the Foundation's Copyright, including, but not limited to, any computer software, by any presentation or publication of such property and shall take all steps necessary to preserve the integrity of the Foundation’s Copyright and protect such rights of the Foundation. 3) Disclaimer. Any and all publications and presentations utilizing the Foundation’s Copyright shall include the following disclaimer: The comments and views detailed herein do not necessarily reflect the views of the WateReuse Research Foundation, its officers, directors, employees, affiliates, or agents. 4) Copyright Permission. In the event that the Contractor creates a manuscript or presentation for publication containing any amount of the Foundation’s Copyright and is required by another publisher to assign its copyright ownership to that manuscript or presentation for publication, the Contractor shall immediately contact the Project

37WateReuse Operations Manual January 2015 Manager directly for further instruction and permission. Such permission will not be unreasonably withheld, conditioned, or delayed, but will require written authorization from the Foundation as well as an explicit acknowledgment and citation in the manuscript or presentation.

b. Contractor’s Intellectual Property. Contractor shall have the right to copyright, publish, disclose, disseminate, and use, in whole or in part, Subject Data and Information, as defined in Article II, Paragraph N, developed by Contractor under this Agreement. The Contractor agrees to make available to the public for public benefit, without license or fee, any scholarly articles which are published from or based in whole or in part on the Subject Data and Information. i. Contractor agrees to cite, credit, and secure permission for any Intellectual Property outside of its ownership. It is the Contractor’s responsibility to request and secure any permission required for the use of material created by others, including images and text quotations. It may be necessary for the Contractor to request permission to reprint previously published work, even if revised. As the Author of a work, the Contractor is responsible for complying with copyright laws and laws of privacy and libel.

c. Inventorship. Inventorship shall be determined in accordance with U.S. Patent Laws. Contractor shall grant Foundation an unconditional, perpetual, non-exclusive, irrevocable, royalty-free, worldwide license to make use of Contractor inventions developed under this Agreement for internal, non-commercial research or Educational Purposes.

d. Assignment. To assure the Foundation’s ownership of the Foundation’s Copyright above, the Contractor hereby assigns all right, title and interest in and to any and all of the documents detailed in Exhibit A to the Foundation, including, but not limited to, the right to apply for registration of any copyright with the United States Copyright Office or similar official repositories world-wide. The Contractor shall execute whatever documents are required in order to comply with this Agreement including, but not limited to, assignments as necessary for any worldwide copyright protection, as well as Exhibit E, the Copyright Transfer Acknowledgement, that is to be included with all Deliverables as specified in Exhibit A.

e. Student Thesis. In the event a college or graduate student is employed by Contractor to work on the Project contemplated by this Agreement and that student completes a thesis, dissertation or report relating to this Project, solely for Educational Purposes, the student shall own the copyright in that thesis or report. In the event a portion of the Foundation’s Copyright is included in that thesis or report, the Foundation hereby grants the student a limited, revocable, nonexclusive license to utilize the Foundation’s Copyright for the specific thesis, dissertation, or report only, conditioned upon the inclusion of an appropriate acknowledgement of the Foundation’s ownership of the Foundation’s Intellectual Property included within the thesis, dissertation or report.

f. Contractor’s Acknowledgment. Any public presentation or publication by the Contractor, including a student writing a thesis, dissertation, or report, based on the Project, shall include

38WateReuse Operations Manual January 2015 the following, or a similar, statement acknowledging the Foundation for providing financial and administrative support: The [Contractor] gratefully acknowledges the WateReuse Research Foundation’s financial, technical, and administrative assistance in funding and managing the project through which this information was discovered, developed, and presented.

g. Subcontracts. The Contractor agrees to flow down and incorporate the binding provisions of Article III, Paragraph 9 (a) through (h) inclusive, into any subcontract entered into in connection with and related to this Agreement. All subcontracts shall include provisions acceptable to the Foundation and necessary to implement the provisions of Article III, Paragraph 9 (a) through (h) inclusive.

39WateReuse Operations Manual January 2015 Appendix E

Copyright Policy

COPYRIGHT POLICY

Material That Requires Permission

As a general guide, permission is more likely to be needed if the source material is short or the excerpt which you wish to use represents a significant portion of either of the work in which you found it or in which you intend to use it. Also, any material which constitutes or represents the heart or key elements of the source material, such that your use could possibly serve as a substitute for the original, will also require permission. More specifically, you should always secure permission for:

1. A single quotation or several shorter quotes from a full-length book, more than 300 words in total.

2. A single quotation of more than 50 words from a newspaper, magazine, or journal.

3. Artwork, photographs, or forms, whether or not from a published source. Sometimes more than one permission is required for a photograph, e.g., from the photographer and also from the creator of the underlying work shown in the photograph.

4. Charts, tables, graphs, and other representations where, inevitably, you are using the entire representation, since the copyrighted features are complete in themselves and inherent in the whole work.

5. Material which includes all or part of a poem or song lyric (even as little as one line), or the title of a song.

6. Computer representations, such as the depiction of results of research on computerized databases, the on-screen output of software, reproduction of web pages, and the capture of Internet or other online screen shots. (For small and insignificant portions, "fair use" may apply; see description below). Please note, however, that if a website invites or authorizes copying and there is nothing to indicate it contains material which is original to others and therefore would require permission from the original source, then you do not need to get permission.

7. Any third party software to be distributed as an electronic component with your report.

8. Use of materials from other WRRF publications, and from your own previously-published works

In addition to the above guidelines to obtain copyright permission, you are also responsible for securing all other required clearances, including permissions for the use of trademarks and releases from privacy claims. For example:

41WateReuse Operations Manual January 2015  A release may be required for photographs or reproductions of specific brand-name products and for use of trade names and logos. Contact the company.  You may need releases for photographs of people, especially private citizens as opposed to public officials and public figures. This is particularly necessary if such material will be used on the cover or in part of the promotion of the work and does not specifically illustrate material in the text.

Material That Does Not Require Permission

The copyright law recognizes the value of the free flow of information in society and encourages authors to expand knowledge by building on the work of those who wrote before them. Copyright does not prevent the use of facts or ideas, but only the author's expression which, as discussed below, is more than just the words or pictures. In addition, even when material is protected by copyright, there are situations where permission to reproduce is not required.

Fair use.

"Fair Use" is a legal term, so you should not assume it will permit your use of copyrighted material from other authors just because such use seems "fair" to you. Generally, a use will constitute "fair use" if minimal, commercially insignificant portions of an existing work are copied, quoted or paraphrased for purposes of comment, criticism, illustration or scholarship. In a commercial context, the doctrine of "fair use" is quite limited. If you are in doubt about whether your use of copyrighted material is a fair use, go ahead and request permission. Even if your use constitutes "fair use," and you do not have to obtain permission, you should give proper credit to the original source.

Interviews.

Generally, you can use material from an interview you conduct, including direct quotes, without securing a signed release if the circumstances and your notes clearly reveal that the source knew you were conducting an interview for possible publication and did not indicate an intent to restrict your use of the material. Otherwise, you should ask the interviewee to sign a release.

Facts, Information and Ideas.

Generally, you may use facts and information you obtain from another work. However, this does not permit you to use the author's original literary expression which includes, for example, more than just the words or the specific lines of a drawing. Copyright encompasses the format, organization, sequence and style of presentation as well as the sense or feeling of the original. When paraphrasing from another work, even if you do not have to request permission because you are paraphrasing a very limited portion of the source, always give credit to the original source. You do not need to credit well-known concepts or theories or strictly factual information, however, as long as they are expressed in your own way.

42WateReuse Operations Manual January 2015 Public Domain.

You do not need to obtain permission for materials that are in the "public domain." This includes all official U.S. government publications as well as materials for which the copyright has expired. The copyright expiration date is often difficult to determine. It is safe to assume that anything copyrighted in this century is still protected. Modern translations of older works are also protected, as are photographs and other portrayals of public domain images. Other materials may be in the public domain because they were published without a notice of copyright at a time when such notice was required to preserve copyright. Once again, this is hard to determine. Some material is intentionally and explicitly made available to copy or use, such as "clip art." Clip art includes standard line drawings that are available in books and on disks and are classified by subject area (sports, animals, etc.) specifically for free use in other publications.

43WateReuse Operations Manual January 2015