9 Appendices
9.1 Appendix A: DHS Technology Readiness Levels
Program
Type Level TRL Description
Basic
Research 1 Basic principles observed and reported
Lowest level of technology readiness. Scientific research begins to be translated into technologies' basic properties.
2 Technology concept and/or application formulated
Invention begins. Once basic principles are observed, practical applications can be invented. The application is speculative and there is no proof or detailed analysis to support the assumption. Examples are still limited to paper studies.
Active R&D is initiated. This includes analytical studies and laboratory studies to physically validate analytical predictions of separate elements of the technology. Examples include components that are not yet integrated or representative.
Applied
Research 4 Component and/or breadboard validation in laboratory
environment
Basic technological components are integrated to establish that the pieces will work together. This is relatively "low fidelity" compared to the eventual system. Examples include integration of ad hoc hardware in a laboratory.
5 Component and/or breadboard validation in relevant
environment
Fidelity of breadboard technology increases significantly. The basic technological components are integrated with
reasonably realistic supporting elements so that the
technology can be tested in simulated environment. Examples include "high fidelity" laboratory integration of components.
6 System/subsystem model or prototype demonstration in a relevant environment
Representative model or prototype system, which is well beyond the breadboard tested for level 5, is tested in a relevant environment. Represents a major step up in technology's demonstrated readiness. Examples include testing a prototype in a high fidelity laboratory environment or in a simulated operational environment
Advanced
Technology 7 System prototype demonstration in an operational
environment
Prototype near or at planned operational system. Represents a major step up from level 6, requiring demonstration of an actual system prototype in an operational environment.
Examples include testing the prototype in a test bed.
8 Actual system completed and qualified through test and demonstration
Technology has been proven to work in its final form and under expected conditions. In almost all cases, this level represents the end of true system development. Examples include developmental test and evaluation and evaluation to determine if it meets design specifications.
9 Actual system proven through successful mission operations
Actual application of the technology in its final form and under mission conditions, such as those encountered in operational test and evaluation. Examples include using the system under operational mission conditions.
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The National Institute for Hometown Security Request for Proposal
Studying Distribution System Hydraulics and Flow Dynamics to Improve Water Utility Operational Decision Making
Kentucky Critical Infrastructure Protection Program
Solicitation Based on Department of Homeland Security Capability Gap Statement 2008-004-Water: “Hydraulic Modeling”
April 2009
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Table of Contents
1.0 Introduction 54 2.0 Objective 54 3.0 Capability Gap 54 3.1 Threat Identification 54
3.2 Gap Statement 54 3.3 Research Framework 54 3.4 Development Considerations 55 4.0 Possible Approach 55
4.1 Baseline Recommendations for Implementation 56 5.0 Goal and Desired Outcomes 57
5.1 Deliverables 57 6.0 Evaluation Criteria 57 7.0 Proposal Submission 58 7.1 Proposal Format 58
7.2 Response Deadline and Submission Requirement 58 8.0 References 59
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1.0 Introduction
The National Institute for Hometown Security (NIHS or the Institute) was formed in 2004 to assist the U.S. Department of Homeland Security (DHS) Science and Technology Directorate (S&T) in creating and delivering new and innovative technologies to address the nation’s community-based critical infrastructure challenges. NIHS is tasked by DHS S&T to manage the Kentucky Critical Infrastructure Protection (KCI) program which focuses on research, development, and transition-to-use of technologies designed for community, state, and regional applications.
Technologies developed under this program are defined by a user-driven needs and requirements process. A “need” is a mission-oriented capability gap within an operational context (e.g., a new threat environment is at risk for exposure to chemical agents; the emergency response community will therefore need solutions to detect and define the chemicals to both prevent unnecessary exposure and, should exposure occur, to ensure the most appropriate remedial action is taken in a timely manner). “Requirements” are the functional specifications associated with a technology solution (e.g., “the chemical detector will have a false-positive rate of less than 5%, a range of 100 meters, include both visual and audio alarms, and be able to detect blood, blister, choking, and nerve agents”). To enable the development and eventual deployment of critical infrastructure protection (CIP) technology solutions, NIHS has worked with DHS to identify and define the actionable requirements presented in this solicitation based upon user needs.
Needs identification is a function of the annual KCI project proposal and awards process. S&T and NIHS receive a vetted list of sector-specific prioritized needs from DHS Office of Infrastructure Protection (IP) and then distill them into highly specific requirements used for KCI request for proposals (RFPs). When this task is complete, NIHS prepares the RFPs and solicits, awards, and manages the contracts that fill the identified gaps. RFPs are disseminated to the Kentucky Homeland Security University Consortium, and participation by other universities and private industry stakeholders is encouraged where appropriate.
This solicitation is in response to capability gap statement “2008-004-Water: Hydraulic Modeling,” identified by DHS IP as a critical need for the Water Sector.
2.0 Objective
Despite advances in the modeling of water quality in water distribution systems and in the more sophisticated area of sensor placement, many questions remain about the flow dynamics and system hydraulics of water distribution systems. The objective of this project is to enhance understanding of flow dynamics and system hydraulics in community water systems in order to improve water utility operational decision making from event detection to system recovery.
Since water chemistry depends on flow, this work can also be useful to people doing real-time
water quality monitoring and to enhance research activities being directed at event detection
systems and real-time modeling.
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3.0 Capability Gap
3.1 Threat Identification
Water quality changes can arise because of a malevolent threat or as a result of operational and hydraulic changes that impact water quality parameters. Proper interpretation of distribution system water quality data and the ability to respond effectively to unanticipated changes in water quality parameters depends on an understanding and consideration of flow dynamics occurring within the system. It is important to detect events as early as possible and understand how flow dynamics can affect water quality causing an impact on the operation of distribution system monitoring systems.
3.2 Gap Statement
The Water Sector Research and Development Working Group has stated that water utilities would benefit from a clearer and more consistent understanding of their system flow dynamics.
Understanding flow dynamics is important to interpreting water quality measurements and to inform basic operational decision making of the water utility.
Water quality changes may be predictably associated with normal operational flow patterns within the distribution system or changes in flows from the operation of pumps, hydrants, or as a result of main breaks. It is hypothesized that these kinds of hydraulic and operational data are foundational to development of real-time water quality models.
An understanding of the sensitivity of water quality to variations in system flow dynamics is needed. Hydraulic and operational variations (pump cycling, flow direction changes, etc.) seem to be associated with a significant water quality changes. A simple modeling tool is needed to help utilities understand basic system hydraulics during normal operational flow conditions and also during abnormal flow patterns resulting from unanticipated events. This can aid in interpreting reliably if a change of state has occurred within the distribution system outside of normal system flow dynamics that would indicate further sampling should be undertaken.
3.3 Research Framework
Recent studies by the Environmental Protection Agency (EPA) (Allgeier, 2008) have shown that variability in flow affect water quality detection and instrument performance. Many questions remain about the flow dynamics as precursors to water quality changes their effect on performance of contamination warning systems. Currently, in-line monitoring is performed for water quality parameters such as pH, turbidity, conductivity, oxidation reduction potential, free chlorine residual, temperature, and total organic carbon. While the instruments being used can provide reliable data, the interpretation of this data is troublesome. Variations in the values for these parameters can be associated with a real-time contamination events or flow dynamics.
Flow modeling is needed to reduce the uncertainty in monitoring systems. A better
understanding of distribution system flow dynamics is necessary in order to identify typical and
potential change of state sites or segments of the transmission system. This information will be
valuable in aiding emergency response and critical when determining best locations for
installation of water quality instrumentation.
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EPA’s National Homeland Security Research Center has sponsored the development of tools, such as the CANARY software, that include several event detection algorithms. It is hypothesized that the CANARY software could be improved by incorporating additional event detection system tools, such as flow modeling capabilities that capture and interpret operational and hydraulic changes that naturally affect the water quality parameters. The successful proposer should keep in mind that the results of the proposed modeling activity might be useful to future prototypes of CANARY and other similar tools.
3.4 Development Considerations
There is a need for better understanding of flow dynamics and system hydraulics occurring within distribution systems of varying sizes throughout the water industry. Recently, a NIHS sponsored workshop concluded that improved flow modeling coupled with real-time sensor data could significantly aid in developing contamination warning systems. Since this supports the conclusion that flow modeling is highly important, the following considerations apply to the development of the flow model or study resulting in a better understanding for the water industry.
The following development considerations should be taken into account by the project team:
• What is the state of understanding of distribution system flow dynamics in the drinking water industry
• The project should outline how understanding flow dynamics can improve response to water quality events.
• The project should help utilities determine where flow sensors should be placed in order to best understand their system’s flow dynamics
• The project should not focus on the development of standards.
• The decision-making timeline will be a key part of the tool’s value, as information must be obtained quickly for utilities to be able to respond appropriately.
• The project should focus on the most benefit for the greatest number of utilities.
• The project should provide a flow dynamics decision support tool useable by the majority of water utilities.
• The decision support tool should be capable of supporting the next generation of contamination warning systems and consequence management tools.
4.0 Possible Approach
• Develop a methodology and approach to understand how existing flow dynamics models can be used with the addition of flow and pressure monitors to improve understanding of network flow dynamics, their relationships to system operational changes and user demands, and thus to water quality dynamics throughout the system. The methodology should allow an understanding of flow dynamics in real-time or near real-time.
• Propose a methodology for selecting water distribution systems (small, medium, large) that best represent the composition of the water industry.
• Determine the type of models needed for each candidate water system.
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• Propose modifications to the models or develop new ones.
• Propose sensor placement for flow and pressure monitors.
• Test and validate models where appropriate.
• Develop a toolkit with processes designed to assist utility operators in understanding flow dynamics and decision making processes.
• Develop a path forward to deploy this model to reduce false-positives. This will be dealt with at the next level of research.
4.1 Baseline Recommendations for Implementation
To facilitate the research project, the following tasks are provided as a baseline for implementation:
• Step 1: Conduct research on utilities of various sizes. Determine the following:
o Percentage of utilities (by size) that use modeling and analysis to understand flow dynamics
o Percentage of utilities (by size) that use some type of SCADA or telemetry system.
o The type, sophistication, and extend of the SCADA system.
• Step 2: Indentify gaps in currently available flow dynamic models.
• Step 3: Develop improved flow dynamic model or sensor data interface/template for existing models.
• Step 4: Determine the extent to which water quality predictions using real time flow and pressure sensor data can be improved by augmentation with flow dynamics information obtained from a water distribution flow dynamics/water quality model.
• Step 5: Prepare a toolkit of approaches to assist small, medium, and large utilities in:
o Selecting appropriate SCADA capabilities based on utility size and financial resources
o Placing flow and pressure sensors
o Integrating real time sensor data with a flow dynamic model
o Predicting water quality impacts associated with system operational changes
• Step 6: Test and evaluate toolkit and improved dynamic model or data interface/template at different utilities. Field demonstrations will be required for small, medium, and large utilities
• Step 7: Develop and submit a summary report.
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5.0 Goal and Desired Outcomes
The goal of this project is to improve understanding of water distribution system, flow dynamics and hydraulic systems, thereby improving decision-making processes. This can be accomplished by helping water utility personnel understand how to interpret real-time data from deployed systems.
5.1 Deliverables
The proposal should include the following deliverables with dates suggested by the proposer:
• Work plan for overall project (due within 1 month of project initiation);
• Report on use of SCADA/hydraulic modeling by water utilities;
• Report on gaps in existing models;
• Workplan for flow dynamic model or sensor data template/interface;
• Toolkit templates for small, medium, and large water utilities, especially those in rural communities;
• Development and testing of toolkit and dynamic model/sensor data template/interface;
• Evaluation of model performance;
• Final toolkit; and
• Final report.
6.0 Evaluation Criteria
• Technical Merit: Projects will be reviewed by subject matter experts from DHS, Sector-Specific Agencies, and the Water Sector R&D working group under the National
Infrastructure Protection Plan partnership framework. They will evaluate the proposed research for uniqueness, its ability to improve mission sustainability, its potential for achieving national acceptance, and its relationship to existing technology and other similar research efforts currently underway.
• Technical Feasibility: The review panel will provide an assessment of the overall
feasibility of the project within the time and budget proposed. Included in this assessment will be the depth and range of the present state of the technology being proposed, as well as the capabilities of the proposed development team and facilities.
• Collaboration and Cooperative Research: Proposers are strongly encouraged to organize teams across the Kentucky Homeland Security University Consortium to provide the multi-disciplinary, collaborative research approach that is necessary to address this complex problem. Proposers should demonstrate leveraging and unifying the research assets of the Kentucky Homeland Security University Consortium to focus the appropriate research capabilities on the problem
• Relevance and Integration: The proposal should clearly identify the DHS/IP capability gap that the proposal is addressing. The DHS team will evaluate, from a systems
perspective, how effectively the proposed research or product can be utilized to address
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the specified credibility gap. The proposal should demonstrate a systems understanding of the need being addressed, and provide a clear concept of operations or description of how the product would be used. In addition, the proposal should include potential customers for the product, an estimate of the size of the market that would be served, competing technologies or research activities, potential for commercialization, and an estimate of the system cost.
• Commercialization/Conversion to Use Plan: Proposals will be evaluated on the level of thought, pre-planning, and steps taken to demonstrate a path forward for successful commercialization or utilization of the project results in support of community-based critical infrastructure protection.
• Project Management and Execution Plan: Evidence of a demonstrated competence in managing and executing other similar research and development projects should be highlighted. The establishment of a realistic plan of execution at a reasonable total cost will influence the selection decision.
7.0 Proposal Submission 7.1 Proposal Format
A proposal template is available on the NIHS website at www.thenihs.org. This form must be filled out in its entirety detailing approach, tasks, costs, research team composition and capabilities, system concept of operations, and commercialization approach.
7.2 Response Deadline and Submission Requirements
The proposals must be received by NIHS by 4:30 p.m. EST on Monday, June 1, 2009.
Deliver an electronic copy of the proposal to John Taylor at [email protected].
Print a master copy of the proposal and mail it to:
NIHS
c/o John Taylor
610 Valley Oak Drive, Suite 1 Somerset, Kentucky 42503.
Ensure appropriate authorization signatures (page 7 of the proposal template) and BIP signatures (section 4.3 of the proposal template, if applicable) are on the printed master.
Both the signed master copy (hard copy) and the electronic copy are required for evaluation.
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8.0 References
1. BOSC, (2008) “Review of the U.S. Environmental Protection Agency, Office of
Research and Development’s Homeland Security Research Program, Board of Scientific Counselors, Subcommittee on Homeland Security Research Program,
http://www.epa.gov/osp/bosc .
2. EPA, (2005), “The Water Security Research and Technical Support Action Plan:
Progress Report for 2005. Available online at
http://www.epa.gov/NHSRC/pubs/reportWIPDprogress092905.pdf
3. NRC, (2005) “Public Water Distribution Systems, Assessing and Reducing Risks,” First Report, Committee on Public Water Supply Distribution Systems: Assessing and
Reducing Risks, Water Science and Technology Board, National Research Council of the National Academies, The National Academies Press, Washington, DC.
4. NRC, (2006a) “Facing Hazards and Disasters: Understanding Human Dimensions,”
Committee on Disaster Research in the Social Sciences: Future Challenges and Opportunities, Division on Earth and Life Studies, National Research Council of the National Academies, The National Academies Press, Washington, DC.
5. NRC, (2006b) “Drinking Water Distribution Systems: Assessing and Reducing Risks,”
Committee on Public Water Supply Distribution Systems: Assessing and Reducing Risks, Water Science and Technology Board, National Research Council of the National
Academies, The National Academies Press, Washington, DC.
6. NRC, (2007) “Improving the Nation’s Water Security: Opportunities for Research,”
Committee on Water System Security Research, Water Science and Technology Board, National Research Council of the National Academies, The National Academies Press, Washington, DC.
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