	Introduction

Wastewater systems in the United States provide essential services to  residential, commercial, and industrial users by collecting and treating  wastewater and discharging it into receiving waters. In light of the events  of September 11, 2001, Congress and the executive branch have placed  increased attention on improving the security of the nation’s water  infrastructure—including wastewater systems—to protect against future  terrorist threats. A terrorist could seek to impair a  wastewater system’s treatment process, to use a wastewater system to  carry out an attack elsewhere, or some combination of both. Objectives, Scope, and Methodology

As requested by the Chairman and Ranking Minority Member of the Senate  Committee on Environment and Public Works, this report identifies  experts’ views on the following questions:  What are the key security-related vulnerabilities affecting the nation’s  wastewater systems? What are the criteria that should be used to determine how federal funds  are allocated among recipients to improve wastewater security, and how  should the funds be distributed? To obtain information on these three questions, we conducted a three- phase Web-based survey of 50 experts on wastewater security. Experts Identified Key Vulnerabilities That Could Compromise Wastewater Security

Experts responding to our survey identified five key physical assets of  wastewater systems as among the most vulnerable to terrorist-related  attacks: (1) the collection systems’ network of sewers, which includes  underground sanitary, stormwater and combined sewer lines; (2) treatment  chemicals, primarily chlorine, which are used to disinfect wastewater; (3)  key components of the wastewater treatment plant, such as its headworks,  where the raw sewage first enters the treatment plant; (4) control systems,  used to control plant operations; and (5) pumping stations along the  collection system, which lift or pump wastewater to allow gravity flow to  help move sewage to the treatment plant (see fig. These vulnerabilities include  (1) a general lack of security awareness within the wastewater sector; (2)  interdependencies among components of the wastewater system, opening  the possibility that a failure of any individual component could bring down  the entire system; and (3) interdependencies between the wastewater  system and other critical infrastructure that could fail, such as electric  power supplies. Experts Identified Wastewater Security- Enhancing Activities That Warrant Federal Support

Experts most frequently identified 11 specific activities to improve  wastewater security as deserving high priority for federal support (see fig. Replace Gaseous Chemicals with Less Hazardous Alternatives

Over half of the experts surveyed (29 of 50) rated the replacement of  gaseous chemicals at wastewater treatment facilities with less hazardous  alternatives as warranting highest priority for federal funding. Improve Local, State, and Regional Collaboration Efforts

Twenty-three of 50 experts rated efforts to improve local, state, and  regional collaboration as warranting highest priority for federal funding. The most frequently identified were utilities:  (1) serving critical infrastructure including government, commercial,  industrial, and public health centers; (2) using large quantities of gaseous  chemicals; (3) serving areas with large populations; (4) where a security  breach would adversely impact environmental resources (e.g., receiving  waters); (5) having completed vulnerability assessments; (6) serving areas  with medium or small populations; and (7) serving buildings, monuments,  parks, tourist attractions or other entities that have symbolic value  (see fig. Utilities Serving Critical Infrastructure

More than three quarters of the experts (39 of 50) gave utilities serving  critical infrastructure a highest priority rating. Funding Mechanisms Recommended for Distributing Federal Funds

When we asked the experts to identify how best to distribute federal funds  that may be made available to utilities to address wastewater security, they  overwhelmingly indicated that direct federal grants to utilities would be the  most effective mechanism. Other mechanisms that were rated as less  effective included loans, or loan guarantees, and tax incentives for private  utilities. Many, for example, favored direct grants with no match for  activities that benefit multiple utilities, or which should be addressed in the  near term. A number of experts, however, expressed reservations. Another expert suggested that a  trust fund should be supported annually by the federal government and  local wastewater utilities, and administered in a manner similar to the  former Wastewater Construction Grants program that funded wastewater  construction.
Why GAO Did This Study

Since the events of September 11, 2001, the security of the nation's drinking water and wastewater infrastructure has received increased attention from Congress and the executive branch. Wastewater facilities in the United States provide essential services to residential, commercial, and industrial users by collecting and treating wastewater and discharging it into receiving waters. These facilities, however, may possess certain characteristics that terrorists could exploit either to impair the wastewater treatment process or to damage surrounding communities and infrastructure. GAO was asked to obtain experts' views on (1) the key security-related vulnerabilities affecting the nation's wastewater systems, (2) the activities the federal government should support to improve wastewater security, and (3) the criteria that should be used to determine how any federal funds are allocated to improve security, and the best methods to distribute these funds. GAO conducted a systematic, Web-based survey of 50 nationally recognized experts to seek consensus on these key wastewater security issues. EPA expressed general agreement with the report, citing its value as the agency works with its partners to better secure the nation's critical wastewater infrastructure.

What GAO Found

Experts identified the collection system's network of sewer lines as the most vulnerable asset of a wastewater utility. Experts stated that the sewers could be used either as a means to covertly gain access to surrounding buildings or as a conduit to inject hazardous substances that could impair a wastewater treatment plant's capabilities. Among the other vulnerabilities most frequently cited were the storage and transportation of chemicals used in the wastewater treatment process and the automated systems that control many vital operations. In addition, experts described a number of vulnerabilities not specific to particular assets but which may also affect the security of wastewater facilities. These vulnerabilities include a general lack of security awareness among wastewater facility staff and administrators, interdependencies among various wastewater facility components leading to the possibility that the disruption of a single component could take down the entire system, and interdependencies between wastewater facilities and other critical infrastructures. Experts identified several key activities as most deserving of federal funds to improve wastewater facilities' security. Among those most frequently cited was the replacement of gaseous chemicals used in the disinfection process with less hazardous alternatives. This activity was rated as warranting highest priority for federal funding by 29 of 50 experts. Other security-enhancing activities most often rated as warranting highest priority included improving local, state, and regional collaboration (23 of 50 experts) and supporting facilities' efforts to comprehensively assess their vulnerabilities (20 of 50 experts). When asked how federal wastewater security funds should be allocated among potential recipients, the vast majority of experts suggested that wastewater utilities serving critical infrastructure (e.g., public health institutions, government, commercial and industrial centers) should be given highest priority (39 of 50). Other recipients warranting highest priority included utilities using large quantities of gaseous chemicals (26 of 50) and utilities serving areas with large populations (24 of 50). Experts identified direct federal grants as the most effective method to distribute the funds, noting particular circumstances in which a matching contribution should be sought from recipients. Specifically, a matching requirement was often recommended to fund activities that benefit individual utilities. Grants with no matching requirements were often recommended for activities that should be implemented more quickly and would benefit multiple utilities. The other funding mechanisms experts mentioned most frequently included the federal Clean Water State Revolving Fund, loans or loan guarantees, trust funds, and tax incentives.