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AReviewofthe EPA Water
Security Research
and Technical Support
Action Plan
Panel on Water System Security Research
Water Science and Technology Boa rcl
Division on Earth and Life Stuclies
NATIONAL RESEARCH COUNCIL
OF THE NATIONAL ACADEMIES
THE NATIONAL ACADEMIES PRESS
Washington, D.C.
www.nap.eclu
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THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC
20001
NOTICE: The project that is the subject of this report was approved by the Governing
Board of the National Research Council, whose members are drawn from the councils
of the National Academy of Sciences, the National Academy of Engineering, and the
Institute of Medicine. The members of the panel responsible for the report were chosen
for their special competences and with regard for appropriate balance.
Support for this study was provided by the U.S. Environmental Protection Agency under
cooperative agreement number 68-C-03-037, work assignment # 0-2. Any opinions,
findings, conclusions, or recommendations expressed in this publication are those of the
authoress and do not necessarily reflect the views of the organizations or agencies that
provided support for the project.
International Standard Book Number 0-309-08982-4 (Book)
International Standard Book Number 0-309-52628-0 (PDF)
Additional copies of this report are available from the National Academies Press, 500 5th
Street,N.W., Lockbox285, Washington, DC 20055; (800) 624-6242 or(202) 334-3313
(in the Washington metropolitan area); Internet, http://www.nap.edu
Copyright 2004 by the National Academy of Sciences. All rights reserved.
Printed in the United States of America
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THE NATIONAL ACADEMIES
Advisers lo the Nation on Science, Engi'7eering, aniMedirine
The National Academy of Sciences is a private, nonprofit, self-perpetuating society of
distinguished scholars engaged in scientific and engineering research, dedicated to the
furtherance of science and technology and to their use for the general welfare. Upon the
authority of the charter granted to it by the Congress in 1863, the Academy has a mandate
that requires it to advise the federal government on scientific and technical matters. Dr.
Bruce M. Alberts is president ofthe National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the
National Academy of Sciences, as a parallel organization of outstanding engineers. It is
autonomous in its administration and in the selection of its members, sharing with the
National Academy of Sciences the responsibility for advising the federal government.
The National Academy of Engineering also sponsors engineering programs aimed at
meeting national needs, encourages education and research, and recognizes the superior
achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of
~ · .
engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences
to secure the services of eminent members of appropriate professions in the examination
of policy matters pertaining to the health of the public. The Institute acts under the
responsibility given to the National Academy of Sciences by its congressional charter to
be an adviser to the federal government and, upon its own initiative, to identify issues of
medical care, research, and education.
Institute of Medicine.
Dr. Harvey V. Fineberg is president of the
The National Research Council was organized by the National Academy of Sciences in
1916 to associate the broact community of science and technology with the Academy's
purposes of furthering knowledge and advising the federal government. Functioning in
accordance with general policies determined by the Academy, the Council has become
the principal operating agency of both the National Academy of Sciences and the
National Academy of Engineering in providing services to the government, the public,
and the scientific and engineering communities. The Council is administered jointly by
both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. Wm. A.
Wulf are chair and vice chair, respectively, of the National Research Council
www.national-acaclemies.org
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PANEL ON WATER SYSTEM SECURITY RESEARCH1
GARRET P. WESTERHOFF, Chair, Malcolm Pirnie, Inc., White Plains, NY
GREGORY B. BAECHER, University of Maryland, College Park
JOSEPH A. COTRUVO, Joseph Cotruvo and Associates, Washington, D.C.
GUNTHER F. CRAUN, Gunther F. Craun and Associates, Staunton, VA
CHARLES N. HAAS, Drexel University, Philadelphia
JAMES B. MCDANIEL, Los Angeles Department of Water and Power, Los Angeles
CHARLES R. O'MELIA, Johns Hopkins University, Baltimore, MD
DAVID M. OZONOFF, Boston University School of Public Health, Boston
KERRY KIRK PFLUGH, New Jersey Department of Environmental Protection, Trenton
DAVID A. RECKHOW, University of Massachusetts, Amherst
DAVID P. SPATH, California Department of Health Services, Sacramento
MARYLYNN V. YATES, University of California, Riverside
Consultant to the Panel
DAVID R. SIBURG, Kitsap Public Utility District, Poulsbo, WA
National Research Council Staff
STEPHANIE E. JOHNSON, Study Director
LAURA J. EHLERS, Senior Staff Officer
DOROTHY K. WEIR, Project Assistant
~ The activities of the panel were overseen and supported by the NRC's Water Science and
Technology Board (see Appendix B).
IV
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Preface
Water utilities have a long history of planning in preparation for emergencies,
particularly natural disasters. But contingency and emergency planning has taken on a
new dimension with current concern about potential threats to water system security. The
range of crises that have become plausible has expanded, and utilities now are
considering more robust security procedures and emergency plans than they have
historically had in place. When it comes to ensuring a water system's security, few
utilities, regardless of size or geographic location, can function independently. The
nation's water utilities and agencies have an urgent need for the knowledge, information,
and guidance related to water security, but they will need more than research and
technical support if they are to effectively improve security. To achieve the highest
possible level of security, utilities need to carry out emergency preparation, response, and
recovery planning in conjunction with other agencies.
~ 1 ~
September 11, 2001 created awareness of our country's vulnerabilities, led to a
reassessment of our homeland security measures, and ultimately instigated the production
of more effective contingency plans. One manifestation of this productivity is the Water
Security Research and Technical Support Action Plan (Action Plan), prepared by the
Environmental Protection Agency (EPA) to address current water security issues. The
following report was produced by the National Research Council's (NRC) Panel on
Water System Security Research. The pane! was organized as part of a broader NRC
Review of EPA Homeland Security Efforts in the areas of water systems and safe
buildings in response to an EPA request.
In order to provide timely recommendations and guidance to the EPA, the panel
conducted a fast-track review of the Action Plan in two stages, with each stage resulting
in the production of a short report. Overall, the panel was impressed by the EPA's
dedication to the development of a comprehensive and useful plan in support of the
nation's water security needs. The first stage of the panel's review determined whether
the EPA Action Plan adequately identified research and technical support needs in the
area of water system security. These findings are included as Part I of this publication,
which was originally released in July 2003. The next stage of the panel's review
v
~ ,. . . .
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Vl
Preface
examined the Action Plan in greater detail and assessed the specific research projects and
their prioritization as presented in the Action Plan. These findings are included as Part II,
which was originally released in October 2003. While these two reports were produced
separately, they are intended to be read together and, therefore, are bound together here.
The NRC composed a panel that represents a range of scientific, technical, public
policy, utility management, and social science expertise. The areas of water system
management, operations, and vulnerabilities; drinking water ant! wastewater chemistry;
drinking water and wastewater microbiology; microbial and chemical risk assessment;
risk communication; and water treatment and decontamination are all included in the
panel members' areas of specialization. The findings of the pane} are based on their own
expertise as well as discussions~with the creators of the EPA Action Plan.
I would like to thank and express my appreciation to our panel members for
recognizing the high priority of this effort and for dedicating their time and talents to
produce this report on a fast-track schedule. I would also like to acknowledge consultant
David Siburg for sharing his expertise in the area of small water systems. We were
guided by the Water Science and Technology Board (WSTB) ant! its director Stephen
Parker. Without the extraordinary help of our study director, Stephanie Johnson who set
the pace, focus, and agenda for our work, maintained contact with the study sponsor, and
acted as liaison to ensure compliance with NRC policies, this effort would not have been
possible. Individual schedules of the panel members spread them across the globe as this
report came together. Stephanie worked tirelessly to compose draft text from several
separate pieces which panel members could then review, making sure that the final
product represented our best thinking en cl advice. Ably helping Stephanie were senior
staff officer Laura Ehlers, who assisted the project in a supervisory role and contributed
substantially to the report's development, and Dorothy Weir, who as our project assistant
was responsible for meeting logistics, research assistance, and editorial tasks.
The pane! also appreciates the assistance of Jon Herrmann and Alan Hais, EPA
Office of Research and Development and Hiba Shukairy and Grace Robiou, EPA Office
of Water who were extremely helpful in providing information on EPA's water security
research efforts to pane] members and WSTB staff to assure the creation of a useful
report. In addition, we also thank those who made presentations, offered their
professional insights, entertained questions, and contributed to discussions during the
panel meeting. These experts include Cynthia Dougherty and Janet Pawlukiewicz from
the EPA Office of Water, Paul Gilman and Timothy Oppelt from the EPA Office of
Research and Development, and John Vitko, Department of Homeland Security.
This report was reviewed in draft form by individuals chosen for their diverse
perspectives ant! technical expertise in accordance with the procedures approved by the
NRC's Report Review Committee. The views and opinions expressed by the reviewers
were assumed to be those of the individual reviewers and not their affiliated agencies.
The purpose of this independent review is to provide candid and critical comments that
will assist the institution in making its published report as sound as possible and to ensure
the report meets institutional standards for objectivity, evidence, and responsiveness to
the study charge. The review comments and draft manuscript remain confidential to
protect the integrity of the deliberative process. Parts I and II of this report were
reviewed independently of one another and by separate reviewers.
We wish to thank the following individuals for their review of Part I of this report:
Lewis M. Branscomb, Harvard University; Sue B. Clark, Washington State University;
Yacov Y. Haimes, University of Virginia; Rebecca T. Parkin, The George Washington
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Preface
. .
V11
University, Brian L. Ramaley, Newport News Waterworks; and David R. Siburg, Kitsap
Public Utility District.
We also thank the following individuals for their review of Part II of the report:
Lieutenant Colonel Patrick Bettane, Israel Defense Forces; Anne K. Camper, Montana
State University; A. Russell Flegal, University of California, Santa Cruz; Peter H. Gleick,
Pacific Institute for Studies in Development, Environment, and Security; Anna K.
Harding, Oregon State University; Nancy G. Love, Virginia Polytechnic Institute and
State University; Brian L. Ramaley, Newport News Waterworks; Deborah L.
Swackhamer, University of Minnesota; John S. Young, The Hebrew University of
Jerusalem.
Although the reviewers listed above have provided many constructive comments and
suggestions, they were not asked to endorse the conclusions or recommendations, nor did
they see the final draft of the report before its release. The reviews of this report were
overseen by Robert A. Frosch, Harvard University. Appointed by the National Research
Council, he was responsible for making certain that an independent examination of each
report was carefully carried out in accordance with the institutional procedures anti that
all review comments were carefully considered. Responsibility for the final content of
this report rests entirely with the authoring panel and the institution.
Garret Westerhoff
Chair
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Contents
PART I: OVERARCHING ISSUES AND RESEARCH AND TECHNICAL
SUPPORT NEEDS ASSESSMENT
EXECUTIVE SUMMARY
INTRODUCTION
Role of the EPA in Homeland Security for Water Systems, 11
Role of Science and Technology in Countering Terrorism, 13
Genesis of this Study and Charge to the Panel, 13
OVERVIEW ISSUES IN THE REVIEW OF THE WATER SECURITY
RESEARCH AND TECHNICAL SUPPORT ACTION PLAN
Overarching Framework for Research and Technical Support, 15
Action Plan Implementation, 18
Communication, Information Sharing, and Security, 19
Interagency Coordination, Roles, and Responsibilities, 20
Identifying Costs and Benefits of Enhanced Security and Research, 21
Time Lines for Investments, 22
Structure and Organization, 22
Conclusions and Recommendations, 23
REVIEW OF IDENTIFIED WATER SECURITY RESEARCH NEEDS
Drinking Water, 25
Wastewater, 47
REFERENCES
PART II: PROJECT EVALUATION
EXECUTIVE SUMMARY
INTRODUCTION
IX
3
11
15
51
55
61
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X
REFERENCES
APPENDIXES
B
C
Contents
Genesis of this Study and Charge to the Panel, 62
ORGANIZING PRINCIPLES FOR WATER SECURITY
REVIEW OF PROJECTS IDENTIFIED IN THE ACTION PLAN
Drinking Water, 68
Wastewater, 94
Implementation 99
Original and Suggested Time Lines for EPA Research Projects
Water Science and Technology Board
Biographical Sketches for the Panel on Water System
Security Research and NRC Staff
64
67
102
105
115
116
